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REAL-TIME TRANSIT PASSENGER INFORMATION: A CASE STUDY IN STANDARDS DEVELOPMENT A Thesis Presented to The Academic Faculty by Landon Turner Reed In Partial Fulfillment of the Requirements for the Degree of Master of Science in the School of Civil and Environmental Engineering and the School of City and Regional Planning Georgia Institute of Technology December 2013 Copyright © Landon Turner Reed 2013

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Page 1: REAL-TIME TRANSIT PASSENGER INFORMATION: A CASE STUDY …nctspm.gatech.edu/sites/default/files/u60/REED-THESIS... · 2014. 6. 19. · passenger information systems existed even in

REAL-TIME TRANSIT PASSENGER INFORMATION: A CASE

STUDY IN STANDARDS DEVELOPMENT

A ThesisPresented to

The Academic Faculty

by

Landon Turner Reed

In Partial Fulfillmentof the Requirements for the Degree

of Master of Science in theSchool of Civil and Environmental Engineering and the

School of City and Regional Planning

Georgia Institute of TechnologyDecember 2013

Copyright © Landon Turner Reed 2013

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REAL-TIME TRANSIT PASSENGER INFORMATION: A CASE

STUDY IN STANDARDS DEVELOPMENT

Approved by:

Dr. Kari E. Watkins, AdvisorSchool of Civil and Environmental EngineeringGeorgia Institute of Technology

Dr. Timothy WelchSchool of City and Regional PlanningGeorgia Institute of Technology

Dr. Hans KleinSchool of Public PolicyGeorgia Institute of Technology

Date Approved: November 18, 2013

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ACKNOWLEDGEMENTS

First and foremost, I wish to thank Rachael Pastor, my fiance and motivational

speaker. The weekend coffee shop study sessions certainly helped bring this document

line by line to its completion. Your support has been unwavering even though a large

section of my brain has been taken over by grad school for the past two and half years. I

only hope that I can reciprocate such support when you decide to enter the life of post-

graduate projects.

I would also like to thank Kari Watkins, Hans Klein, and Tim Welch, the advisers

for this project. Dr. Watkins' support throughout my graduate studies has been

phenomenal. Our simultaneous arrival at Georgia Tech was serendipitous and gave the

chance to work on instructive and pragmatic projects, from this thesis to the most

engaging course projects I have had the opportunity to work on. Discussions with Dr.

Klein helped to inspire and refine many of the ideas presented in this research, especially

those in which I was the farthest from my comfort zone. The gracious support that Dr.

Welch provided as a new member to my thesis committee is much appreciated.

Graduate studies and the production of this thesis were influenced greatly by all

of the wonderful colleagues at Georgia Tech, both in SCaRP and Civil Engineering.

Thanks to all who contributed to the Urban Transportation Information Lab (UTIL) led

by Dr. Watkins, which provided a great environment to learn, share ideas, and gather

honest and helpful feedback. Thanks especially to James Wong and Aaron Gooze. These

two in particular fulfilled multi-faceted roles in my graduate studies. Friends, colleagues,

iii

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office mates, intramural teammates, conference co-presenters, and, of course,

racquetballers.

This work could not have been completed without the support of the Georgia

Department of Transportation or the Georgia Transportation Institute/University

Transportation Center at Georgia Tech. Both of these organizations continue to provide

support to important and innovative projects in the field of transportation. I would also

like to acknowledge the interviewees who generously gave their time and expertise to

understanding the standards development processes analyzed in this thesis.

Another thank you to the open transit community for pushing the boundaries in

this area. One such member of this community, Dr. Sean Barbeau from the Center for

Urban Transportation Research at the University of South Florida, has been a wonderful

collaborator on this and other projects during my time here at Georgia Tech. He and

other members of this community work to promote open standards in the transit industry

by not only implementing and using these standards, but by leading research efforts to

better understand this complex ecosystem.

A final thank you goes to my whole family. All of your support and love

throughout my life have brought me to this achievement and will continue to push me

towards a happy and successful life. My formal (and informal) education was uniquely

shaped by each of you.

iv

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TABLE OF CONTENTS

ACKNOWLEDGEMENTS iii

LIST OF TABLES vii

LIST OF FIGURES viii

LIST OF SYMBOLS AND ABBREVIATIONS ix

SUMMARY x

CHAPTER 1 INTRODUCTION 1

1.1 Contents 4

1.2 Scope 5

1.2.1 Real-time Passenger Information Transit Data Standards 5

1.2.2 Process-oriented Analysis 6

1.2.3 United States Focus 7

1.2.4 Open Standards 8

CHAPTER 2 BACKGROUND 9

2.1 Real-time Transit Information 9

2.2 The Need for ITS Data Standards 13

2.2.1 ITS Architecture / Standards: Final Rule 13

2.2.2 Open Data and Standardization 17

2.2.3 Pluralization of Stakeholders 18

2.2.4 Efficient Competition and Innovation 19

CHAPTER 3 LITERATURE REVIEW 21

3.1 Standards Development Theory 21

3.1.1 Economic Dimensions of Standards 22

iv

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3.1.2 Standards Stakeholder Models 27

3.1.3 Public Policy and Standards Development 33

3.1.4 Technical Dimensions of Standards 37

3.1.5 Open Standards Development 38

CHAPTER 4 REAL-TIME TRANSIT STANDARDS DEVELOPMENT 47

4.1 Methodology 47

4.1.1 Justification for Case Study Methodology 48

4.1.2 Components of Case Studies 49

4.2 Case Studies 51

4.2.1 GTFS-realtime 51

4.2.2 TCIP 59

4.2.3 SIRI 68

4.3 Comparison of Standards and Standards Development Processes 73

4.3.1 Assessment of Openness 73

4.3.2 Implementations 75

CHAPTER 5 RECOMMENDATIONS 78

5.1 Moving Ahead for Innovation in the 21st century 78

5.2 Predictions for Continued Trends 79

5.3 Federal Policy Recommendations 81

CHAPTER 6 CONCLUSION 84

6.1 Key Findings 84

6.2 Future Work 85

APPENDIX A INTERVIEW QUESTIONS 88

v

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APPENDIX B OPENNESS INDEX SCORING 91

REFERENCES 95

vi

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LIST OF TABLES

Page

Table 1: Agency responses to question on underutilized AVL functions 11

Table 2: Comparison of key program interests for ITS in 2000 and 2013 14

Table 3: Importance of open standards requirements to different stakeholders 43

Table 4: Openness index scores for real-time transit passenger information standards 74

Table 5: Average adoption rate for (agencies per year) for real-time standards 77

vii

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LIST OF FIGURES

Page

Figure 1: Growth of transit agencies with open data by passenger miles served 2

Figure 2: Diversity of technology and equipment vendors for AVL systems 13

Figure 3: Growth of open source lines of code from 1995 to 2006 45

Figure 4: Adoption of GTFS by U.S. transit agencies 52

Figure 5: Number of documented changes for GTFS vs. GTFS-realtime 57

Figure 6: Diagram of TCIP Model Architecture 62

Figure 7: Diagram of conceptual hierarchy for TCIP building blocks 63

Figure 8: Participants by sector in TCIP Passenger Information Tech. Working Group 64

Figure 9: Adoption of real-time data standards 76

Figure 10: Reasons given by transit agencies for not providing public arrival times 80

Figure 11: Issues agencies have with adoption of open standards for real-time data 86

viii

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LIST OF SYMBOLS AND ABBREVIATIONS

ANSI American National Standards Institute

APC Automatic Passenger Counter

APTA American Public Transit Association

ATIS Advanced Traveller Information Systems

AVL Automatic Vehicle Location

CEN European Committee for Standardization

FCC Federal Communications Commission

FTA Federal Transit Administration

GPS Global Positioning System

GTFS General Transit Feed Specification

GTFS-realtime General Transit Feed Specification for Realtime

IETF Internet Engineering Task Force

ITE Institute for Transportation Engineers

ITS Intelligent Transportation Systems

TCIP Transit Communications Interface Profiles

TCRP Transit Cooperative Research Program

SDO Standards Developing Organizations

SSO Standards Setting Organization

SIRI Service Interface for Real-time Information

UAV Unmanned Autonomous Vehicle

V2V Vehicle-to-vehicle (ITS communications concept)

ix

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SUMMARY

As the transportation sector fully integrates information technology, transit

agencies face decisions that expose them to new technologies, relationships and risks.

Accompanying a rise in transit-related web and mobile applications, a set of competing

real-time transit data standards from both public and private organizations have emerged.

The purpose of this research is to understand the standard-setting processes for these data

standards and the forces that move the transit industry towards the widespread adoption

of a data standard. This project will analyze through case studies and interviews with

members of standard-setting organizations the development of three real-time transit data

standards: (1) the development of the General Transit Feed Specification Realtime

(GTFS-realtime), (2) the Service Interface for Real Time Information (SIRI), and (3)

Transit Communications Interface Profiles (TCIP). The expected outcome of this

research is an assessment of federal policy on standards development as well as an

analysis of current and future trends in this sector—both technical and institutional. The

results will inform federal transit policy and future action in standards-setting and

intelligent transportation systems (ITS) requirements, identifying the potential catalysts

that will increase the effectiveness of federal- and agency-level programs.

x

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CHAPTER 1

INTRODUCTION

Passenger information for public transit, particularly in the form of real-time

arrival predictions, has experienced a surge of growth in the past decade. While the first

passenger information systems existed even in the early 1990s (1), the increasing

diffusion of mobile smart devices has enabled new generations of applications that allow

users to access real-time information with increasing ease and reliability. The benefits of

providing this information, especially via mobile applications, are well documented. Such

benefits include significant reductions in perceived and actual wait times (2),

improvements in customer satisfaction (3), and increases in transit usage (4).

Smartphone market penetration, however, does not fully account for this growth

in real-time information delivery. The market success of the standard format for schedule

data known as the General Transit Feed Specification (GTFS), originally developed

through a partnership between Google and Portland's TriMet, has led to an unprecedented

adoption rate by transit agencies as shown by total unlinked passenger trips for agencies

with GTFS in Figure 1. These agencies have committed to producing and maintaining

their schedule data in standardized CSV tables to display their system on Google Transit's

trip planner and, increasingly, opening this data to other third-party application

developers.

1

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While GTFS has emerged as a de facto industry standard1 for static schedule

information, there has yet to be a similar case for real-time passenger information, or the

current location of a transit vehicle and its consequent schedule deviance. Although the

menu of real-time data standards is almost identical in composition to the list of options

1 Some may call attention to the difference between the use of the word “standard” to describe what actually is a specification (for a good description of this difference, albeit in the printing and publishing industry, see http://www.npes.org/pdf/Standards-V-Specs.pdf). While this is a valid semantic concern, the difference between standard and specification lies on a continuum. Specifications that have been widely adopted and are openly maintained begin to move into the realm of standards. For this reason, the words may be interchanged throughout this document. This is not to detract from the respectable and painstaking work of accredited standards bodies, but rather just a side effect of the ever-changing landscape of adoptionand usage of standards and specifications.

2

Figure 1 Growth of transit agencies with open data by passenger miles served (79)

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available for schedule data standards, a predominant alternative has not yet risen to the

top. This may be due in part to one or more of the following reasons: (1) the market for

real-time information is not mature enough to warrant widespread adoption, (2) the

available data standards do not not meet the technical needs of agencies, or (3) the effects

of lock-in and switching costs keep agencies fixed in contracts with vendors providing

proprietary solutions.

Nonetheless, the market for standards that do exist for real-time transit passenger

information in the United States is at a stage where the tipping point for adoption seems

likely to occur over the next decade. The open standards for delivering real-time

passenger information are (1) the General Transit Feed Specification for realtime (GTFS-

realtime), the real-time counterpart of GTFS; (2) Transit Communication Interface

Profiles (TCIP), the FTA and APTA's decades-old project that includes specifications for

all manner of technology systems in the transit industry; and (3) the Service Interface for

Real-time Information (SIRI), a passenger information standard developed by the

European Committee for Standardization (CEN), which has seen adoption in whole or

part by a few agencies in the US. There are a bevy of other standards for delivering real-

time information, but these are on the whole closed standards—generally controlled by

proprietary interests without open forums for comments or appeals. Examples of other

standards or specifications include the NextBus XML API, web services provided by

many different AVL or ITS vendors (Trapeze, Clever Devices, Orbital, etc.), the

3

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OneBusAway API2, and many custom implementations (such as TriMet's web services

API).

There are likely a number of reasons that exist for why a real-time transit

passenger information standard has not yet reached a tipping point. This research aims to

understand the theory on standards development processes and organizations in an

attempt better understand standards development for real-time transit passenger

information and why widespread standardization has not occurred. It will examine other

cases of competing standards and how these processes were structured. Importantly, it

will reflect on standards theory and the role of policy in promoting successful standards.

1.1 Contents

This thesis is presented in six chapters. The present chapter introduces the

research goals, structure, and scope. The next chapter gives a background and context for

ITS architectures and standards for transportation, more generally, and transit,

specifically. It also describes the broader needs for standardization efforts as they pertain

to newer government, social, and technological initiatives.

The third chapter thoroughly reviews the theoretical literature that underpins

standards development from a variety of academic disciplines including economics,

sociology, and political science. This chapter also reviews historical cases of information

technology standards development as reference points for the analysis of the real-time

2 The OneBusAway API is not fully closed, but for the purposes of this research it is not considered here. The primary reason for its exclusion is that most of the discussion and work surrounding the API has been related to a particular implementation of the standard. As the project grows into other regions (New York City, Tampa, Atlanta, etc.) there may be cause to consider it under future research. Another reason for its exclusion here is that the author contributes directly to The OneBusAway Project and wishes to avoid conflicts of interest.

4

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passenger information standards. Finally, the chapter fully introduces the data standards

and respective standards development processes under examination in this research.

Chapter four details the case study methodology the author employs for analyzing

the passenger information standards development. This chapter documents the case study

findings from each of the data collection efforts. These findings and the subsequent

analysis inform the concluding chapters in which the author presents recommendations

for each of the standards development processes and the larger ITS standardization effort.

Research needs and predictions on the future state of the practice are also elaborated on

in these final chapters.

1.2 Scope

The literature review and case studies that follow in chapters three and four

represent an analysis of standards development with a particular and well-defined scope.

The analysis will focus strictly on those standards development processes for real-time

passenger information in the United States.

1.2.1 Real-time Passenger Information Transit Data Standards

The scope of this work is limited in order to produce results that are relevant for a

particular subset of industry data standards and those organizations that develop those

standards. The standards under examination in this research are those that convey

passenger information in a real-time context. Such information includes data reported

about transit vehicles pertinent to the vehicle locations, schedule adherence/deviance,

service disruptions or changes, or even network congestion levels. These data may be

used to convey information about transit service that aids travelers in decision making

about their journeys.

5

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It is worth noting that certain standards considered here, especially TCIP, contain

standards for an entirely other set of information exchanges for the transit industry.

GTFS-realtime, on the other hand, was designed and designated strictly for the

conveyance of real-time passenger information. As such, a strict “apples to apples”

review is not possible unless only the real-time passenger information components of

TCIP are considered. While the author recognizes that the real-time component of the

standard does not exist in isolation, for the sake of simplicity it will be compared strictly

in this real-time passenger information context.

Another important consideration is that TCIP and SIRI were both developed for

intra-agency interoperability, whereas GTFS-realtime was developed as a model for

external data consumption by third parties. Although on the surface these models exhibit

fundamental differences, the primary goal here is to consider how standards influence the

ability of transit passengers to consume real-time information. The passenger

information components of TCIP, SIRI, and GTFS-realtime all intend to serve this

purpose, whether the ultimate vehicle be an agency-operated website or variable message

signs, Google Transit, or any number of other web or mobile interfaces. Each of these

data standards have the capability to deliver this information; this research will consider

how the development of the data standard has hindered or helped to this end.

1.2.2 Process-oriented Analysis

This research effort seeks to understand the evolution, history, and future of the

standards development processes of the major real-time passenger information data

standards in the United States. By understanding these processes as well as the

economic, political, and technical dimensions of these standards, the purpose of this work

6

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is to recommend a path forward for the industry in standards adoption and future

standards development work, especially as it pertains to real-time passenger information.

Rather than a substantive analysis of the content, format, and structure of the data

standards, this research effort seeks to understand the formal approaches taken by

standards development organizations (SDOs) and the approaches' resultant successes and

failures.

1.2.3 United States Focus

While advanced traveller information systems (ATIS) have been deployed for

both transit and traffic systems across the world, this research focuses strictly on the

United States context. Social and political organization varies country to country as do

the makeup of SDOs and their relationship with governmental entities. Because of the

complexity of such relationships in different contexts, this research will only consider

real-time passenger information standards that have been implemented and used in the

United States, particularly for those agencies that are members of the American Public

Transit Association (APTA).

SIRI, which was developed through CEN, represents the convergence of a few

European real-time information standards, most notably the UK's Real-Time Interest

Group (RTIG) and Germany's Verband Deutscher Verkehrsunternehmen (VDV). It also

draws on the basic conceptual framework put forth by France's TransModel, also a CEN

European Standard. While the SIRI data standard was developed through a European

SDO with solely European partners, a number of US agencies and real-time information

vendors have implemented the standard, bringing it into the pool of other US data

standards and into this analysis.

7

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1.2.4 Open Standards

As mentioned above, this research will consider only open standards for real-time

transit passenger information. Any recommendations for policy or process are unlikely to

impact a closed standard. Therefore, in order to pursue productive work, closed and

proprietary specifications are wholly excluded from the case studies and consideration as

a possible filler for the real-time transit passenger information standards void. The

permanence of proprietary specifications relies on the perpetuity of the firm that holds

licensing, intellectual property rights, and general control of the standard. As such, a

realistic, long-term solution will not include closed or proprietary specifications. Chapter

three considers further the subtleties of open standards and will aid the reader in the

understanding of this concept.

8

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CHAPTER 2

BACKGROUND

The purpose and utility of real-time transit information has changed over time.

Transit agencies originally installed systems that provided information on vehicle

location for operational reasons—to assist with crucial functions such as dispatching.

Today, these systems integrate with other technology subsystems such as automatic

passenger counters (APCs), influencing the way in which an agency assesses its

operations and even communicates with its customers, improving both the quality of

service and the customer experience. This section will explore both the technical and

historical basis of the technologies that provide this information and how some of these

changes have occurred.

2.1 Real-time Transit Information

Real-time transit information provides agencies, operators, and customers with

information about the current transit operations—whether it be a single transit vehicle, a

route, or an entire fleet.

Automatic vehicle location (AVL) refers to, primarily bus, technology systems

that determine the location of a transit vehicle or fleet of vehicles in operation.

According to TCRP Synthesis 73, an AVL system is defined as:

“the central software used by dispatchers for operations management that

periodically receives real-time updates on fleet vehicle locations. In most modern

AVL systems this involves an onboard computer with an integrated Global

Positioning System receiver and mobile data communications capability” (5).

9

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One of the primary technologies for early AVL systems installed in the 1970s and 1980s

was the wayside signpost beacon system, which relies on a set of signposts installed at

key locations on the transit system (sometimes coinciding with features of service like

timepoints) and beacons that emit, usually, microwaves to indicate their presence when

they approach a signpost. This technology, still used for transit signal priority, is

increasingly being replaced by GPS-based systems, wherein each transit vehicle is

equipped with a GPS receiver and radio-based mobile communications system.

Transit agencies rely on real-time transit information for a host of operational

capabilities and improvements, beyond the information provided specifically for

passengers. Updates on the location and status of vehicles can be integrated with a menu

of other on- and off-board technology subsystems to provide functionalities such as

onboard next stop announcements, automatic data input for headsigns, advanced

communication with farebox systems to provide enhanced data on payments, stop-by-

stop boardings and alightings, schedule adherence for real-time predictions when linked

with schedule data (provided through a number of different interfaces), improved transit

signal priority (TSP) operation, and more (5). This abbreviated list provides a snapshot

of the usefulness of real-time information updates on the location and status of transit

vehicles in operation.

Though the menu of options for AVL systems is extensive, the reality of many

implementations is that few transit agencies utilize many or all of these capabilities. In a

survey conducted by Miller, et al., for TCRP Synthesis 73 (5), the researchers asked

transit agencies which aspects of the agency's bus AVL system are not fully utilized. The

responses for this question are shown in Table 1. While the highest percentage of

10

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agencies had not fully utilized TSP (at 43.8%), the second highest response was Next

Arrival Predictions at 34.4% of transit agencies (5). Over a third of agencies either are

not providing or have not fully utilized arrival predictions for their transit systems. The

low utilization of TSP can partly be explained by the high capital costs of installing

wayside infrastructure and the coordination costs of working with other agencies to

calibrate and manage traffic signals. Yet the low utilization of Next Arrival Predictions is

not as easily explained by infrastructure costs.

Table 1 Agency responses to question on underutilized AVL functions (5)

Technology %

Transit Signal Priority 43.8

Next Arrival Predictions 34.4

Scheduling and Dispatch Software for Paratransit Operations 31.3

APCs 28.1

Next Stop Announcements 21.9

AVL Software for Fixed-Route Operations 18.8

Other 0.0

While arrival predictions can be delivered with costly wayside digital signage,

information delivery via websites, automated telephone systems, or mobile applications

offers a low-cost alternative to this infrastructure. One possible explanation for this high

response is that when the researchers administered the survey in 2008 these low-cost

technologies were less available. This theory can be discredited by survey responses

indicating that the earliest cases of agencies delivering next arrival predictions by signs or

websites were between 1998-2000 at rates of 9.4% and 3.1%, respectively. Indeed, these

low-cost methods were available, but this researcher posits that sufficient dominance of a

standard in the realm of real-time transit passenger information had not, and perhaps has

11

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still not, matured enough to make these low-cost alternatives to wayside signage

economically viable. In the absence of reliable standards, market inefficiencies keep the

costs of Next Arrival Predictions too high.

Beyond the underlying technologies and uses, the number of vendors involved in

installing and developing these systems for agencies adds an entirely separate layer of

complexity. Figure 2 shows the various vendors involved in equipment supply or

technology integration mentioned in responses from 31 agencies to a 2008 survey

question conducted for TCRP Synthesis 73 (5). The wide distribution of responses (note:

these responses were not mutually exclusive, i.e., some agencies mentioned multiple

vendors/suppliers) suggest that there are a number of both large vendors with multiple

contracts across different agencies as well as many cases where smaller vendors may

create custom solutions for individual agencies or, at most, small market segments. There

are many technology providers for AVL systems and, based on recent evidence, few of

these vendors use anything besides proprietary, closed standards for disseminating real-

time passenger information within agencies or to third parties.

12

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2.2 The Need for ITS Data Standards

2.2.1 ITS Architecture / Standards: Final Rule

Intelligent transportation systems (ITS) became a part of the federal agenda in the

early 1990s with the passing of the Intermodal Surface Transportation Efficiency Act

(ISTEA) of 1991. ITS represent the efforts to integrate information technology into

transportation infrastructure at any number of entry points, for example private vehicles

or public infrastructure like roadways. Table 2 shows the key activities of the ITS Joint

Program Office of the USDOT in 2000 (6) and in 2013 (7).

13

Figure 2 Diversity of technology and equipment vendors for AVL systems (5)

Digital RecorderGFI

GiroGreyhawk

HarrisHastus

INITLuminator

MotorolaOrbital

SiemensTrapeze

Twin VisionOther

0

5

10

15

20

25

AVL component vendors

Nu

mbe

r of

age

ncie

sw

ith v

endo

r

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Table 2 Comparison of key program interests for ITS in 2000 and 2013 (6, 7)3

Date accessed January 16, 2000 September 3, 2013

Question What are the key elements of the ITS metropolitan approach?

What are the current key activities of the Federal ITS Program?

Answer (extract) Traffic signal control Vehicle to Vehicle (V2V) Communications for Safety

Freeway management Vehicle to Infrastructure (V2I) Communications for Safety

Transit management Real-Time Data Capture and Management

Incident management Dynamic Mobility Applications

Electronic toll collection Road Weather Management

Electronic fare payment Applications for the Environment

Railroad crossings Human Factors

Emergency response Mode-Specific Research

Regional multi-modal traveler information

Exploratory Research

-- Cross-Cutting Activities

A comparison of the major activities across the years indicates not necessarily a

distinct shift in priorities, but rather a shift in the way the organization addresses these

priorities towards more complex and interactive systems. However, the disappearance of

any explicit reference to “transit” may indicate a shift in priority to traffic and autos,

especially with the ever growing interest in vehicle-to-vehicle (V2V) communications

and unmanned autonomous vehicles (UAVs). Nevertheless, this may just as well be

explained by the contemporary emphasis on multimodal applications rather than treating

modes as discrete, unrelated subjects.

3 Key program interests for ITS Joint Program Office in 2000 were obtained through the Internet Archive Wayback Machine (https://archive.org/web/). 2013 interests were obtained directly from the ITS Joint Program Office Frequently Asked Questions web page.

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In the Transportation Equity Act for the 21st Century, enacted in 1998, legislators

filed additional rules for ITS projects that were to be funded by the Highway Trust Fund.

These rules specified that any major ITS project must “...conform to the national

architecture, applicable standards or provisional standards...” (8). This provision extends

to any ITS projects funded out of the Mass Transit Account and, therefore, includes most

projects that may impact the regional coordination of local ITS operations. It should be

clarified that conformance to the “national architecture” in practice requires conformance

to a regional ITS architecture, which is based on the National ITS Architecture a much

more expansive system than any region is ever likely to implement (9).

In response to questions posed during the legislation’s comment period, the

Federal Transit Administration (FTA) modified the final policy to alleviate concerns

regarding “the premature use of required standards and interoperability tests...”

Specifically, the FTA relinquished agencies of the need to use any standard that is not yet

“mature” and has not been formally adopted by the USDOT. At the time of the

modification's writing, the only required standards were those related to commercial

vehicle operations (CVO) (10). According to a report published in 2010, no other ITS

standard has yet to be formally adopted by the USDOT, so it holds that agencies are not

formally required to utilize any standard. Nevertheless, the report notes that policy still

encourages the use of those standards developed by recognized standards development

organizations (SDOs), such as the American Public Transit Association (APTA) (11).

Branscomb and Keller (1996) offer an early summary of the challenges facing

ITS standardization and, perhaps, partial explanation for why no standard has been

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formally adopted by the USDOT. In Converging Infrastructures: Intelligent

Transportation and the National Information Infrastructure, they write:

“ITS standardization issues are complex relative to those in the traditional

telecommunications environment because they span a broader array of

technologies and systems. At the same time, however, the environment for

standardization is relatively weak. Telecom standards evolved with a common

platform and a stable—indeed regulated—competitive environment; ITS will

consist of heterogeneous systems and a relatively independent set of players. In

addition, many of the technologies for which standards will be most needed are

nascent or immature at this time” (12).

Many of the same challenges exist nearly two decades later. Technologies and systems

remain diverse and complex. Most of the policy efforts tied to standardization have been

limited to light incentives, certainly not mandates. And, barring a few examples,

standards in the transit industry still seem nascent and/or immature, a fact which is

supported by the above mention of USDOT's hesitancy to formally adopt any ITS

standard.

Despite this apparent stagnancy, a couple of things have changed dramatically.

First, web and mobile platforms for personal information delivery have exploded, despite

the survey responses from TCRP Synthesis 73. The personal computer and, more

recently, the smartphone have enabled transit agencies—and anyone with an Internet

connection—to communicate efficiently with larger and larger audiences. A separate, yet

certainly related, occurrence is the emergence of the open data movement. The

democratization of information and datasets have created an ever-broadening market of

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users and implementers who inject a distinct set of values, such as transparency,

openness, and sharing, into these standardization processes. In order for standards to

succeed in this new marketplace, the bodies that maintain these standards may need to

demonstrate a renewed commitment to these ideals—both that the standard is

developed/maintained and how new stakeholders might interact with the standard.

2.2.2 Open Data and Standardization

Executive Order (EO) 13642 issued by President Obama on May 9, 2013, has

broad-reaching impacts for open data and data standards in the United States (13).

Proponents of open data, discussed in more depth in Chapter 4, affirm that government

should provide its data freely and openly to private citizens and corporations in order to

spark innovation and assist government in performing its various functions. Using its oft-

cited poster children of weather data and the Global Positioning System (GPS), the EO

discusses the immense potential for entrepreneurial activity and economic growth when

public data are made freely available. Importantly, it asserts that "the default state of new

and modernized Government information resources shall be open and machine readable

[emphasis added]" (13). By providing government data in machine-readable formats by

default, the federal government is placing a new level of importance on the role of

standardization in the most basic operations of government. Standardization, if not a

prerequisite for the systematic provision of machine-readable data, is at the very least a

logical conclusion for the effort.

This EO and the policy it represents are important for the future of transit data

standards because it cements the pattern of growth and creation of niche data markets in

sectors such as transportation, health, or education. With this growth comes the continued

17

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importance of data standards to convey this information in addition to the processes by

which such standards are developed. While standardization efforts in ITS are over a

decade old, the executive branch's relatively new open data policy allows an opportunity

to revisit these efforts and investigate how this “open paradigm” might impact preexisting

policy and methods. Certainly, most of the ITS standards have been developed to be

open standards; however, properly functioning in support of open data poses new

questions for these transit standards, particularly in how to handle an entirely new set of

stakeholders.

2.2.3 Pluralization of Stakeholders

Just as the release of Global Positioning System (GPS) spurred billions of dollars

in innovation and supported the spread of businesses around the globe, the opening of

historically closed or unavailable datasets is spawning a new set of interests and

stakeholders in transportation data from governments. According to a report released in

October 2013, open data has the potential to unlock billions, even trillions, of dollars in

economic value in the US. For the transportation sector alone there is around $720 to

$920 billion in latent value, suggesting that new stakeholders might be very important for

the overall economy (14). These new interests not only have a stake in if/when an agency

releases data, but also in how this data is provided once it is eventually delivered.

This new generation of stakeholders historically has had little influence on the

development of ITS standards. This of course is a natural consequence of arriving late to

the game, yet this is not to say that such parties have not been addressed. In a 2012

roundtable held by the White House Office of Science and Technology Policy (OSTP),

application developers and other transit industry stakeholders met to address challenges

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facing the transit industry, namely “(1) a lack of consensus on standards for the exchange

of real-time transit data and (2) a lack of 'clinical trials' of cutting-edge technologies in

this area” (15). The direct outcomes of this meeting are not abundantly clear. In fact,

that the meeting even took place at all is difficult to ascertain because it is only published

on a few blogs. Nonetheless, the convening of such a meeting shows that the federal

government is aware of the issues in adoption of current standards and bringing transit

technology forward. As more and more agencies move towards an open data model, this

pluralization of stakeholders opens up opportunities for transformative change in the

public transit industry.

2.2.4 Efficient Competition and Innovation

The most fundamental motivation for pursuing transit ITS or any other set of data

standards is to enable efficient competition and innovation. The economic arguments for

standardization espouse the positive welfare benefits that widely adopted standards

generate and, conversely, the failure of technologies and innovations to which

incompatible standards can lead (16). Such positive benefits include network effects, the

avoidance of lock-in, reduction in switching costs, and enabling new market entrants, all

of which will be explored further in later chapters (17–19). Put simply, standards lead to

a more efficient arrangement of market forces and competition. While the success of

standards may not be in the interest of existing firms within the industry, it is certainly in

the interest of the general welfare of the public, who perceives such activity in the form

of cost reductions and improvements in services.

In considering the value of standards to transit ITS, it is helpful to consider the

genesis of GPS technology, Surely if the federal government had delegated the

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management of GPS to local authorities, we would see the geographies of various

jurisdictions encoded differently to serve different needs. A state government may

choose to represent each point of latitude and longitude in reference to a coordinate

system that distorts the state's geography the least. Or a local municipality may choose to

represent every point in reference to the city center, a logical decision. Or an extremely

flat county might choose not to represent altitude in its local GPS at all.

In reality, we see different coordinate systems in use in nearly every jurisdiction

around the country that hosts geographic data. But if the federal government had

disjointed GPS—the foundational technology for pinpointing any user's precise location

at any given moment—in this hypothetical way, there would be little chance of the

technology having the lasting impact on the world that it has. This illustration is of

course flawed (the technology is for global positioning, not local positioning), yet in an

age where technologies can transform the world in mere months given the right

conditions and where data have been historically locked down so tightly, the example is

not altogether unbelievable.

In sum, the landscape of transit ITS standards may be in a period of change.

Thanks to a growing interest in the use of government data by a new set of stakeholders

and the formal recognition of these efforts by the President, there is now more than ever a

need to understand the impact that standards have on the transit industry. Understanding

the economic and policy impacts that standards have is a crucial first step to

understanding how individual standards develop and the environments in which they are

created.

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CHAPTER 3

LITERATURE REVIEW

3.1 Standards Development Theory

Standards development processes, especially in the information technology sector

have received a great deal of attention in the past couple of decades. Indeed, it is the

success (or failure) of such processes that have led to the fruitful (or in some cases

painful) growth of industries that rely on networking and data exchange protocols, i.e.,

the Internet. Standards development theory draws from the fields of economics,

sociology, political science, business and information technology. This interdisciplinary

topic area thus has many different contributors bringing a wide range of expertise and

background case studies. Nevertheless, a review of such literature reveals common

threads and theoretical underpinnings.

In an attempt to cover all relevant aspects of standards development theory for

real-time transit passenger information standards, this section will consider:

• the economic drivers for standardization processes;

• the institutions that have historically steered standardization processes;

• policymaking surrounding standardization;

• the types of standards and the basic function each serves; and

• the definition of “open standards” development (as well as differentiation

between “open standards,” “open data,” and “open source”).

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This literature review provides a set of objective criteria for understanding and analyzing

the real-time transit passenger information standards development. This analysis will

inform the economic viability of development strategies, the appropriateness of when and

where government has intervened with various policies, and the conditions of openness

for each of the standards. Previous work on transit interface standards has not taken this

extensive look at the theoretical literature surrounding standards development, yet in

order to move the industry forward on this issue, such a review is necessary.

3.1.1 Economic Dimensions of Standards

There are a number of economic motivations for standardization in an industry.

Each of these impart externalities onto transactions and product decisions, which spur the

economic viability of products and allow technological innovation to proceed at a strong

pace.

Network Effects

Some of the primary economic advantages offered by standardization are derived

from what are known as network effects. Katz and Shapiro (20)define network effects as

“the utility that a given user derives from the good [which] depends upon the number of

other users who are in the same 'network' as is he or she.” Economists have established a

number of types of network effects4 in the past few decades, all of which contribute to an

understanding of how these market externalities impact standards development and

implementation.

4Arun Sundararajan maintains a thorough listing of the various types of network effects on his personal website (http://oz.stern.nyu.edu/io/network.html) hosted at New York University from which many of the literature references were extracted.

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For understanding how network effects might apply to real-time transit passenger

information, consider a transit agency in isolation. The agency may have an interest in

providing real-time information to customers. Developing a system to deliver this

information may take significant investment in labor and/or capital to build the system

from scratch. In the absence of standardization, adding additional agencies to this model

does not decrease individual agency investments to provide real-time information.

However, standardization drives down these costs because the costs (and benefits) of

development begin to be distributed across the network. The different ways in which

these effects disperse are described below.

Direct Network Effects

The most basic example of network effects and one of the most modeled in the

field are direct network effects. Direct network effects account for the direct increase in

value accounted for by an increase in usage. Such an effect is easily explained by

common communications networks, such as increases in Internet users or the number of

households with a telephone. As more individuals begin using a product, the value of

that product, or consumption benefit, for existing users and each additional user rises.

Both Katz and Shapiro (20) and Farrell and Saloner (19) discuss these basic effects in

their seminal works that were both published in 1985.

Indirect Network Effects

Indirect networks effects contribute to consumption externalities, or the how the

consumption of one good may depend on the market supply/availability of other

supporting or interoperable goods. Katz and Shapiro also refer to this phenomenon as the

hardware-software paradigm (20), which may be recognized today in the consumption

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patterns of smartphones. Indeed, the availability and abundance of “apps” or native

applications—or even accessories like cases or peripherals—for a particular consumer

smartphone often heavily influences the purchasing decisions of consumers.

The applicability of this indirect network effect model may be limited for the

transit ITS industry because of the dominance of vertically integrated vendor solutions

for hardware and software. However, the model may be considered for instances where

passenger information standards have been adopted by a subset of transit agencies and

mobile application developers. In this circumstance, consumers have come to enjoy the

benefits of software variety and freedom of choice when a transit agency chooses a

standard that allows for an array of software providers to enter the market.

Two-sided Network Effects

Indirect network effects are sometimes referred to as one-directional cases of two-

sided network effects. Whereas indirect network effects refer to the scenario where a

variety of software packages may influence the consumption of a hardware package, two-

sided network effects include this scenario along with the reciprocal, where a variety of

hardware options for a given software will impart benefits on the consumption of the

software. Farrell and Klemperer list “credit cards, brokers, auctions, matchmakers,

conferences, journals, computer platforms, and newspapers” among key examples of

two-sided network effects (21).

Local Network Effects

Local network effects provide a strong theoretical understanding for standards

adoption and development in transit ITS. These effects describe the effects that a small

subset of a larger network has on consumption decisions. The federal requirement for

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developing regional ITS architectures is a policy materialization of these effects. In other

words, ITS decisions made by a transit agency in a given metropolitan area will be

heavily influenced by the decisions of and existing infrastructure supported by agencies

within that same region. Again, this effect is supported by both the theoretical arguments

made by Sundararajan (18) and the policy mandates from USDOT (10).

Lock-in and Switching Costs

Besides the benefits attributed by network effects, the costs imparted on

consumers where standards do not exist in a market create an important motivation for

the introduction of standards. These costs, known as switching costs, may keep a

consumer locked in to a particular firm (or vendor) because the cost of switching firms is

too high or, put differently, “when consumers value forms of compatibility that require

otherwise separate purchases to be made from the same firm” (21).

When considering technology systems in the public transit sector, switching costs

may derive from the use of proprietary data formats and standards. Thus, switching from

one technology provider to a competitor would require high costs to translate or convert

data from one system to the new. Other examples of switching costs and lock-in “include

the transaction costs of closing an account with one bank and opening another with a

competitor, the learning cost incurred by switching to a new make of computer after

having learned to use one make, and the artificial switching costs created by frequent-

flyer programs that reward customers for repeated travel on a single airline” (17).

Approaches to Standards Coordination

The mechanisms by which a standard develops is an important determinant for

coordination, or reaching a harmonic agreement within the industry. Farrell and Saloner

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Consider three approaches to coordination for interface or compatibility standards:

committee-based, market-based (or “bandwagon”), and hybrid coordination (22).

Committee-based Coordination

Committee-based coordination relies on the action of some formal body to

achieve standardization across the market participants, while market-based coordination

is defined by a set of competitive parties each working independently of one another (22).

There are many examples of committee coordination in standardization including any

standard setting organization that openly allows industry participants to meet and develop

a standard through a consensus-based process (e.g., ANSI, ISO, or CEN). The hybrid

approach relies on a combination of both market agents working together in a formal

committee approach, while simultaneously pursuing a market strategy for a standard.

Farrell and Saloner conclude that, while it may take a significantly longer time,

committee-based standard setting will more likely result in interface standards

coordination. Though the authors do note that as this process takes longer and longer the

marginal benefits (“payoffs”) for achieving standardization through committee begin to

diminish rapidly (22).

Market-based or Bandwagon Coordination

Farrell and Saloner suggest that standardization occurs in the market-based or

bandwagon coordination environment when there is a clear leader in the market (a “first

mover”) that pushes the market into standardization as a side effect of its leadership.

They mark key examples of this pattern as when Home Box Office (HBO) adopted

VideoCipher, a satellite signal scrambling system that once adopted by the entertainment

giant brought widespread coordination across the industry. Another example of this

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bandwagon approach is with the pre-breakup telecommunications company Bell. When

Bell (the firm with the largest market share by far) made decisions on products or

standards, smaller companies such as GTE were forced to follow.

The Hybrid Approach

The hybrid approach to standards coordination describes when a firm decides to

participate actively in a committee approach while simultaneously pursuing a market-

based solution (22). This approach could be considered either hedging activity or, more

aggressively, covert deception used to make a move on the market with the committee's

ignorance. Keil suggests that the hybrid approach—combining market and committee

elements into a semi-open alliance of organizations—a model used in the standardization

of Bluetooth, is used increasingly by firms to achieve rapid dominance of new technology

markets (23).

3.1.2 Standards Stakeholder Models

As mentioned in Chapter 2, the role of stakeholders in the development of

standards is an important one, especially as this group changes with the government

implementation of open data policies. This section contains a few descriptions of

stakeholder models, or the types of stakeholders involved with standards development

and how their respective interests play out. The section provides a context for the

importance of organizations, history, and structures in standards development.

Creators, Users, and Implementers

Krechmer defines a model for stakeholders in open standards development that

relies on three categories: creators, implementers, and users (24). This is perhaps the

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most basic hierarchical division of stakeholders, yet it helps to parse out interests in the

standardization process. While implementers and creators have the most stake in this

process, users have important interests as well that extend beyond the technical

components. West (25) presents a model with more subtleties, which provides a good

description of stakeholders for understanding market forces in this research.

Nevertheless, both models presented here prove valuable to understanding the interaction

and importance of stakeholder groups.

Creators (Standards Setting Organizations)

Standards setting organizations (SSOs) is a term that has been used to characterize

any organization involved in the development of standards, from governmental to non-

governmental bodies and from corporations to non-profit foundations. In a 2002 critique

on the evolving nature of SSOs, Cargill defines five types of SSOs:

• trade associations,

• Standards Developing Organizations (SDOs),

• consortia,

• alliances, and

• the Open Source software movement (26).

Cargill traces the history of SDOs, the definition typically applied for more

formally organized SSOs. He uncovers the acceleration of market demand for new

technology standards and simultaneous retardation of SDOs' ability to deliver standards

in a timely manner. This slowing pace of development originated with the growth of

“anticipatory standardization,” whereby shortened product cycles and rapid technology

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change forced organizations to develop a standard far in advance of when it was needed

by the industry (26).

This change began to bring about an increasing number of consortia, or alliances

of companies with similar objectives, that retracted funding from SDOs, redirecting it

towards their own consortia activity. While these consortia on the whole did not

participate in anticipatory standardization, the model of standardization began to change

towards “existing practice.” In this model a company would submit a specification

already in practice to be reviewed for standardization by a consortium. The revised and

reworked specification would then be submitted to the industry as a standard, though as

Cargill accurately notes, “[t]he ultimate authorization, of course, was the take up of the

technology by the market (26).

The other crucial piece of this creator segment of the standardization hierarchy

comes from the influence of the Open Source Software (OSS) movement. This

movement, formally initiated in the late 1990s, consists of a large, semi-organized

network of individuals and organizations growing increasingly diverse, but with the

common goal of creating and improving bodies of universally accessible and

redistributable software (27).

Members of the OSS community often extend beyond the development of

software into the realm of standardization. While it may be on the other end of the

continuum from large SDOs, this largely voluntary community has made significant

contributions to the development of important open source software projects. The

decentralized nature of many of these projects shows important similarities to the

successful set of Internet open standards, which are developed in part by the Internet

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Engineering Task Force (IETF) (28). The model of distributed networks of volunteer

technical experts has and will likely continue to have real impacts on how standards are

developed. The importance of this model is further discussed in section 3.1.5 Open

Standards Development.

Implementers

Implementers are those players in the standardization process that create new

products that directly employ the standard under development (24). This group,

therefore, has a uniquely strong interest in the outcome of a standardization process.

However, it is crucial to consider how these interests differ from standards creators (such

as an SDO) or the user of one of the implementer's products.

An implementer is concerned not with whether the standard is technically sound,

universally accessible, or meets some other idealistic notion of fairness, but rather that

the standard is accessible to her and meets the needs of her particular products and

market segments (24). This description is not to vilify implementers. Some

implementers may indeed have goals that the standard conform to firmly held values, but

if the standard does not meet an implementer's needs, it is not in her interest to support it.

It is useful here to discard the notion that firms in the marketplace enjoy competition—

firms would rather the playing game be tilted in their favor, but at the very least will

suffer a level playing field.

Users

Users of implementations of a standard have a stake in the standard's success.

Truly, when a standard reaches widespread adoption, its users gain benefits from network

effects, the freedom from lock-in, and stability in their investment. Krechmer writes that

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the openness of a standard is increasingly important to end users. This is understandable

if we accept that openness implies:

when multiple implementations of the standard from different sources are

available, when the implementation functions in all locations needed, when the

implementation is supported over the user-planned service life, and when new

implementations desired by the user are backward compatible to previously

purchased implementations. (24)

The model for open standards has an increasingly visible impact on the standardization

process for creators, implementers, and users.

West's Model

West describes a stakeholder model in which there are five distinct groups with

interests in open standards development. These classes are: “(1) technology providers,

(2) incumbent vendors, (3) vendor challengers, (4) complement providers, and (5) users”

(25). The model has similarities to Krechmer's simplified model. Technology providers

develop the technology on which the standard is based. Oftentimes, this group also

accounts for the implementers in Krechmer's model.

Vendors consist of implementers who do not have control of the technology

development but do provide products that implement the standard. This group consists of

incumbents—those who lead the market and maintain a significant segment thereof—and

challengers—market leader competitors who wish to disrupt the control of the market.

This challenger group sometimes will create standards alliances or consortia to gain

control of the market or, perhaps more accurately, to level the playing field (25).

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Complement providers are those who provide complementary products for a

given standard. These providers' interests are driven primarily by volumes—they desire

large market shares for their products with little regard for high profit margins. In other

words, they are interested in providing products that piggyback on the successful

implementations of a standard. Users, once again, make up the same group of

stakeholders as in Krechmer's model. This group ultimately cares about the

interoperability of the standard and the resultant benefits derived from achieving

interoperability.

We can apply West's stakeholder model to the public transit industry, particularly

as it pertains to real-time passenger information. Technology providers are those

companies that develop and, more often than not, also implement AVL technology. Many

of these same companies compose the group of incumbent vendors. Vendor challengers

are more difficult to pin down in this model, but Google and its decision to lead the

development of the GTFS-realtime open standard most accurately represents this model.

Google has been a disruptive force in the provision of transit data (and a number of other

sectors), most notably with the development of GTFS.

There are a number of other vendor challengers engaged in the GTFS-realtime

“consortium,” but the active members of this group mostly seem to be complement

providers. We can think of complement providers in this model as third-party application

developers, looking to provide real-time passenger information via apps that piggyback

off of information provided via AVL systems. They care not about developing a high-

cost, custom solution for a single agency, but rather reaching a large number of users—

what we will consider as agencies here.

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The question of who the user is somewhat conflated because our public transit

agencies are direct users, but ultimately their customers are the beneficiaries. So here we

have two sets of users: direct (agencies) and indirect (transit riders). Considering this

basic model of stakeholders in the transit industry will be important for understanding

stakeholder relations and interests in the case studies in Chapter 4.

3.1.3 Public Policy and Standards Development

Government institutions have substantial influence over standards development

not only through the institutions through which they act but also through the public policy

they support. Greenstein and Stango note the importance of government decisions in

backing standards because of the power to mandate compliance with a given standard.

However, the incredible rarity of occasions in which these compliance decisions are

reversed is just as important for understanding the role of government in standards

development (29). The literature provides ample discussion of the benefits and costs of

government intervention as well as the conditions under which intervention is most

appropriate.

David and Greenstein, drawing on the work of Besen and Johnson on FCC

regulatory intervention, indicate the conditions under which different types of

intervention may be appropriate. Key among their recommendations are “government

should not mandate standards if these are likely soon to require revision… symptoms of

ineffective or premature actions should not be ignored—including negative industry

reactions and continuing attempts to break from mandated standards… [and] sparse

response to a [standardization] proposal may indicate premature action [by the

intervening agency]” (30, 31). While the latter two recommendations may be applied

33

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retroactively to standardization proposals, the first applies to standardization processes

where government has yet to intervene.

While the authors recognize the numerous arguments for intervention to achieve

gains in efficiency, David and Greenstein note that there are issues that come with

government activity in standards development. These issues nearly all stem from the role

that stakeholders are able to play in the process. Typically, vested interests, or incumbent

vendors, are the most well represented and gain the most influence in a standards

development process. Consequently, old standards will be systematically protected while

new stakeholders will likely not be fully represented nor even identified in the process

(30).

Cabral considers ten different standards battles and the role that government

policy has played and can play in favoring or supporting a competing standard. He

considers two questions of import for policymakers: which standard to support and when

to intervene. For the first question, Cabral argues that a patient policymaker should

support the lagging standard, or the one that is likely to prove worthwhile over the long

term but has yet to fully mature or see market dominance. The policymaker in a hurry, on

the other hand, should back the current leading standard. As to when a policymaker

should intervene, the answer is binary again: the patient policymaker should delay any

action, the impatient should act now (32).

The definition of patience and impatience is, then, at the crux of this theory and

how policymakers should react to standards battles. Cabral suggests that this depends on

both the policy context, e.g., US vs. Europe vs. Japan, and the industry/technology in

question. For example, a government might favor the more centralized, impatient

34

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approach of choosing a product early over allowing competitive forces to work through

markets (patient). When considering the technology in question, some product cycles are

relatively short, which would favor an impatient approach to avoid lagging.

Farrell and Shapiro consider the differences between these policy contexts in the

selection of high-definition television (HDTV) standards. Japan and Europe chose a

much more centralized approach, demonstrating characteristics of impatience. Each

chose a technology-firm combination very early on and supported it through the

development of the technology. On the other hand, the United States utilized the

resources of competing firms in the HDTV standard selection. Additionally, in the

United States terrestrial broadcasting interests carried significant political weight, so

displacing these providers by adopting a standard too early was out of the question for the

FCC. These differences materialized in a long delay in standard setting and technology

development in the United States, yet a side effect of this delay was an improvement in

the ultimate technology outcome.

In the United States, the FCC allowed for competitive systems to develop in

tandem until it chose a standard from a selection of proposals by 1993 (33). At this point,

tests were prepared to determine which HDTV proposal was deemed best. The results of

the February 1993 tests were, of course, inconclusive. In order to keep development

costs down and avoid further competition, companies and organizations involved formed

a Grand Alliance to cooperatively set the standard and build a working prototype.

Eventually this group submitted a proposal that is very close to what would be approved

by the FCC in 1996 (34).

35

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This case shows a very patient policymaker in the FCC, which chose to allow

competing firms to generate multiple proposals. In turn, this led to these competitors

allying themselves in order to reduce duplication of efforts and bring HDTV to the

market more rapidly. So, the patient policymaker led to a better standard by creating

impatient market actors willing to collaborate. While this is just a single example, it

demonstrates some of the reactions policymakers have in different environments and lays

a foundation for understanding how policy context and technology influence patience.

De facto vs. de jure

An important distinction in the world of standards development is de facto vs. de

jure, or whether a standard is formally adopted/sponsored or not. The question of “who

is the formal adopter/sponsor?” poses difficulties in itself. Yet, typically de facto

standards achieve widespread dominance by the action of markets without the formal

requirement of a governing body, whereas de jure standards exist under the governance of

an accredited SDO.

The examples from FCC above primarily describe activities around quality or

safety standards enforced by the regulatory body. However, this regulatory activity is

less prevalent for ITS transit interface standards. Technically, there exists no de jure

standard for transit ITS products because the USDOT has not formally adopted any

standard, including the FTA/APTA TCIP. Nevertheless, the USDOT does support

standards development activity through accredited standards bodies such as APTA, ITE,

and ANSI. Fleming Waguespack (2005) IETF is an example of de facto standards-setting

body even though it is challenged by traditional standards and governmental bodies.

36

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The most popular product will also be the de facto standard, and setting a standard

can offer a product a dominant market position. Thus de facto standard setting in

these cases is of enormous concern to firms in systems industries and will often

be central to their business strategies (35).

3.1.4 Technical Dimensions of Standards

Thus far, this review has covered “soft” or social dimensions of data standards.

These social components of economic and institutional analysis are critical to a complete

understanding of the motivations and interests in standards development. It will be

useful, however, to explore the technical dimensions of standards in order to refer to

phenomena by their proper names.

In the taxonomy of standards laid out by David, there are three classes of

standards: reference standards, which enable the accurate measurement and comparison

of different products (i.e., benchmarking); minimum quality or safety standards, such as

the expected lifetime or performance of an electronic component; and interface standards,

those standards which allow a sprocket developed by Sprockets, Inc. to communicate

with a widget manufactured by Widgets Corp. (36). Other researchers' taxonomies

include additional classes, such as variety reduction standards, which “limit a product to a

certain range of characteristics such as size and quality level” (for example, reducing the

number of types of screws) (37); however, this research will focus on the importance of

interface standards to the functioning of passenger information dissemination and the

market that supports such activity.

37

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Interface and Compatibility Standards

Interface, or compatibility, standards describe the functional or physical

characteristics that are necessary for equipment or systems to exchange information

successfully. The standards contained in this research (SIRI, GTFS-realtime, and TCIP)

are all interface standards, defining the format, structure, and content of the real-time

information exchanged by onboard AVL systems to central servers to third party

consumers (either users or application providers). While the exact chain of

communication intended for each standard may differ, the basic function of compatibility

exists throughout.

Interface standards for IT, while relatively new to the public transit industry, have

been considered previously in academic literature. In 1998, Hickman reviewed the

current state of the practice for interface standards. His review included a survey of 300

software and hardware product vendors in the transit industry. The resultant response

rate of about 9% (only 27 fully usable responses) perhaps indicates a lack of interest in

the topic matter, a lack of knowledge, or a desire to remain silent on the subject. Whether

this response rate is indicative of a particular stance on the topic or simply the

consequence of happenstance, Hickman does note that his sample may be seriously

biased and should be “viewed with healthy skepticism” (38).

3.1.5 Open Standards Development

Standards development takes place in a variety of settings under different

institutional arrangements and technical requirements. However, all of the standards

considered in this paper have one thing in common: they all claim to be open standards.

An open standard is simply a standard that is “not under the control of a single vendor

38

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and is easily available to those who need it to make products or services” (39). This is a

rudimentary definition because there are many facets of openness, which will be

considered below. This section will also explore related “open” movements and the

interaction between these trends and open standards development.

Components of Open Standards

There are, of course, a wide array of definitions for what makes an open standard.

Krechmer documents a few of these, which range from West's availability beyond the

standard sponsor to Perens' definition which draws from the open source software

movement. Perens emphasizes not just the development and availability of a standard,

but also the accepted practices and operating for a standard. His fundamental list of

principles and practices include:

1. availability,

2. maximize end-user choice,

3. no royalty,

4. no discrimination,

5. extension or subset, and

6. predatory practices (40).

Krechmer recognizes the importance of different stakeholder groups to open

standards: if a standard is only open for users and not creators, it is not truly open. For

creators, the development process must allow for open meetings, certain consensus

criteria, and formal procedures, such as balloting. Implementers have market needs upon

which an open standard must not impinge—namely, that the standard should not impose

burdensome costs, keep them from innovation, or put them otherwise in a negative

39

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market position. Similarly, users consider a standard open when there are multiple

implementations to access—such as the availability of GTFS from multiple transit

agencies—and there is sufficient support for the standard. Krechmer's ultimate

definition, therefore, defines ten requirements that draw upon the expectations of

openness from each of these stakeholder groups:

1. Open meeting – requires that all stakeholders can participate in meetings;

different levels of barriers (economic, physical distance) can detract from an SDO

meeting this requirement.

2. Consensus – decisions on standard should be made by consensus, a term that has

a range of meanings; however, Krechmer views compliance with this requirement

to be binary.

3. Due process – requires that “consideration be given to the views and objections

of all participants” and that processes exist for participants to express such

perspectives.

4. Open world – suggests that any standard shall, in principle, be applicable to use

cases around the world. In other words, it should not be restricted by national or

political boundaries. However, because there are often regional or cultural issues

involved with standards, the requirement focuses on the geographic coverage in

which the standard operates.

5. Open Intellectual Property Rights (IPR) – refers to the license that governs the

use, redistribution, or commercialization of a standard for implementations.

Krechmer scales this requirement in five levels from 0 to 4 ranging from 0 –

commercial licensing to 4 – no copyright/patent protection.

40

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6. Open change – is a somewhat redundant requirement in which Krechmer bundles

the first three requirements (open meeting, consensus, and due process).

Nevertheless, the requirement does indicate an important characteristic that relies

on the convergence of key principles and so may justify being addressed

separately.

7. Open documents – requires that documents for the standard development process

are made open. This includes “work-in-progress documents” (e.g., draft versions

of a standard, meeting discussions, technical reports, etc.) and “completed

standard documents.” Krechmer describes three states of open documents:

1. Work-in-progress documents are only available to committee members

(standards creators). Standards are for sale. (Current state of most formal

SSOs.)

2. Work-in-progress documents are only available to committee members

(standards creators). Standards are available for little or no cost. (Current

state of many consortia.)

3. Work-in-progress documents and standards are available for reasonable or

no cost. (Current state of IETF.) (24)

8. Open interface – prescribes that standards support both backward and forward

compatibility. This category could be broken down into connectivity, or how

devices in different spatial locations interact; extensibility, allowing modifications

to standards that do not break compatibility; and adaptability, allowing for

changes in communication system.

41

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9. Open access – is a somewhat nebulous requirement that Krechmer seems to

attach more to safety standards than interface standards. Nevertheless, it could be

interpreted to indicate the degree of access users have to implementations of the

standard or the availability of conformance verification tools to verify

compliance.

10. On-going support – requires that a standard be supported during the four phases

of its lifetime (following creation): fixes, maintenance, availability, and

rescission.

According to Krechmer, these requirements fully satisfy the Perens definition of

open standards, including both principles—One World holds that a single standard ought

to perform a capability globally, for all cases—and practices—Open Meeting requires

that any and all may play an active role in standards development. Table 3 shows how

the ten requirements of Krechmer's definition apply to the three stakeholder groups. The

table indicates that three requirements—One World, Open IPR, and Open Change—

impact all three stakeholder groups. Users and implementers rely on nearly all of the

same requirements, except that implementers do not rely on on-going support.

42

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Table 3 Importance of open standards requirements to different stakeholders (24)

RequirementsStakeholders

Creator Implementer User

1 Open Meeting X

2 Consensus X

3 Due Process X

4 One World X X X

5 Open IPR X X X

6 Open Change X X X

7 Open Documents X X

8 Open Interface X X

9 Open Access X X

10 On-going Support X

In addition to a robust definition of open standards, Krechmer provides an

analytical framework for assessing open standards development. Because the author uses

this framework for assessing passenger information standards in the chapter on case

studies, Krechmer's ten requirements, and their relevance for transit ITS standards, will

be further explored in Chapter 4.

Related “Open” Movements

In recent years, a number of technology-centric movements labeled with the

“open” qualifier have emerged. The author has cursorily reviewed open data with respect

to the White House's policy stance and its potential impact on standards development.

This brief section is to clarify this and other movements and their relevance for this

research.

43

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Open Data

Perhaps the most recent open movement and the one most successful at capturing

the public eye has been the “open data” movement. Open data refers to the idea that

datasets, particularly those owned by the government, should be made openly available to

any private citizen or company that wishes to use them. In addition, the movement holds

that governmental agencies should provide such data in machine-readable, common data

formats so that they may be easily parsed by software developers, researchers, and any

other interested party. Open data holds a strong connection to the world of open

standards because the success of the movement relies on being able to build robust,

repeatable applications that function for both Agency X and Agency Y. In other worlds,

interface standards must be used by a large group of agencies in order for users to

experience the benefit of network effects.

Open Source

The open source software movement is a relatively new concept, but has already

had profound impacts on the software development industry. Open source refers to a

software development model that promotes free redistribution of software and software

components, makes source code (not just compiled code) openly available, and allows

derivative works (41). There are a variety of licenses under which open source software

is published (42), ranging from the very permissive (for example reuse for commercial

purposes) to more restrictive policies on how source code may be used.

The roots of the term “open source” grow very much out of the world of

standards. The term was coined in a Palo Alto, California, strategy session following the

decision to publicly release the Netscape Navigator source code (27). Netscape was

44

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embroiled in longstanding “browser wars” with Internet Explorer. which it eventually

lost. The ultimate conclusion of these wars, however, would spark the open source

movement and the eventual destruction of IE's hegemony by open source browser

projects such as Mozilla Firefox and Chromium (the open source basis for Google

Chrome).

This movement has since grown astronomically, especially over the past decade.

Figure 3 Shows the exponential growth in the number of source lines of code contributed

to open source repositories tracked by Deshpande and Riehle over the period of January

1995 to December 2006. While this study is a few years old, the trend line is

unmistakable: the open source community is growing rapidly. According to the authors,

“the total amount of source code and the total number of projects double about every 14

months” (43).

45

Figure 3, Growth of open source lines of code from 1995 to 2006 (43)

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While the open movements discussed here have distinct meanings, they do not

exist in isolation. It is likely that as open data and open standards proliferate, so too will

the number of open source projects and lines of code dedicated to using these data and

standards. This correlation is not a given, yet the interest in civic hacking (44) and

viewing government as a platform (28) suggest that these movements will work together

in concert and continue to exhibit this exponential growth pattern.

46

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CHAPTER 4

REAL-TIME TRANSIT STANDARDS DEVELOPMENT

4.1 Methodology

The methodology presented here relies on the multiple case study to understand

the standards development processes utilized by each data standard. One of the principle

aims is to reach an understanding of how “open” each data standard is, or how well each

data standard complies to the definition of an open standard. According to Yin, a case

study is an empirical endeavor that investigates contemporary phenomena within the

context in which they occur. A case study provides a method to observe both the

phenomenon and the contextual details—which may be part of what the observer seeks to

understand (45).

The multiple case study methodology used here relies heavily on document

review and past surveys on agency attitudes and capabilities regarding the provision of

real-time information to understand characteristics of the standardization processes and

their impacts on agency adoption. Interviews were also conducted with members of the

SSOs from each of the standards development processes. The final source of information

is a collection of articles from a variety of peer-reviewed journals that contain data about

various implementations of (1) products deployed by different vendors, (2) standards

implemented in different use cases, and (3) opinions/perspectives on standardization and

ITS for transit.

47

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4.1.1 Justification for Case Study Methodology

The case study as methodology offers research on systems, processes, and

institutions an important tool for understanding. Yin offers the following purposes for

choosing this methodology in research:

1. The research seeks to answer a “why” and/or “how” question,

2. The research focuses on contemporary events, and

3. The researchers lack “control over behavioral events” relevant to the research.

(45)

The research objectives in this thesis are to understand why and how each of the real-time

transit passenger information standards development processes function and to consider

how the standards environment could be improved for the better functioning of real-time

information provision. This is certainly a contemporary subject of review. While there

are some historical considerations, each of these standards is actively evolving over time

and each of the respective SSOs consider the future of the standards.

Finally, the researcher draws on insights from members of the SSOs and does not

attempt to nor could he control the behavioral events of these bodies. Any analysis of

standards development processes necessarily must draw on case study findings, lest the

research be focused on developing economic models or theoretical insights. This

research, on the contrary, seeks to understand specific real-world processes and

institutions and their respective arcs of development.

48

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4.1.2 Components of Case Studies

Interviews

To gain insights into the history and evolution of the standards development

process, the researcher conducted interviews with either members of the SSO or persons

actively engaged in the standardization process for each data standard. The nature of

these interviews were primarily informational, seeking specific facts about the operations

and functioning of standards committees rather than opinions or speculations. The

interview questions are reproduced in Appendix A: Interview Questions. The major

categories for questions asked in the interviews are as follows:

• Interviewee's role in standard development

• History of standard development process

• Meetings, Consensus, and Formal Processes

• IPR, Global Availability

• Transparency, Interface, and Access

• Support for Implementers

Many of the question topics aimed to understand the openness of the respective standard

development process according to Krechmer's ten principles of open standards. Internal

Review Board approval was obtained for the interview questions and consent from

interview participants was obtained. Although these interviews were informational, in

order to protect the participants pursuant to human subjects policies, their names are

excluded from this thesis. Nonetheless, many parts of the interviews informed the case

study analysis.

49

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Document Review

The researcher extensively reviewed documents on the standards and their

respective standardization processes. These documents include SSO and/or data

standards websites, documentation on current and/or past versions of the data standards,

and any publicly available meeting minutes or committee communications. Many of the

most important of these documents are referenced in the bibliography and are available

on the Internet. However, if at some point in the future, these are no longer available at

the URLs provided, please contact the researcher5 for a copy of the reference material

(given that the license governing the use and distribution of the content permits such

sharing).

Assessment of Openness

Openness is an important characteristic for standard setting that the researcher has

identified in the literature review. As mentioned above, many of the interview questions

were directed at understanding how well the standard satisfied Krechmer's ten principles

of open standards. A brief description of the most salient features of openness is provided

for each case study and a comparative review according to Krechmer's principles is

provided at the end of this chapter.

Review of Outcomes

Achieving standardization requires more than simply developing a standard. This

is only the first step in a process that, if successful, will lead to the widespread adoption

of the standard, the proliferation of network effects to both firms and users, and an

improvement in the functioning of the industry market. As such, it is important to review

5 This researcher may be contacted at [email protected].

50

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the present outcomes in adoption of each of the standardization processes as indicators of

how successful each standardization process has been to date. This is, of course, an ever-

changing situation as implementation decisions are made and procurement documents

produced in agencies every day. However, there is value in ascertaining the current state

of affairs in order to both predict future trends and understand the process that led to the

present state.

4.2 Case Studies

4.2.1 GTFS-realtime

Background

History

GTFS-realtime is the real-time complementary standard to GTFS, the General

Transit Feed Specification, which contains static schedule information for a transit

agency or collection of agencies. The history of GTFS-realtime is tightly coupled with

that of GTFS. Portland's Tri-County Metropolitan Transportation District of Oregon,

more commonly known as TriMet, worked with Google to originally develop GTFS.

Bibiana McHugh is mentioned as having initiating conversations with Google, Yahoo,

and Mapquest in a desire to make transit trip planning information as readily accessible

as driving directions on popular mapping services (46). Chris Harrelson, a Google

employee, was already engaged in the integration of transit options to Google Maps. By

December 2005, TriMet's schedule information was available on Google Maps as Google

Transit (46).

51

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A number of agencies followed TriMet's lead. Nearly a year later, Google

announced that the company had added five more cities to Google Transit (47). A change

proposal was later made in 2009, and shortly thereafter adopted, to rename the GTFS

standard (it was originally known as the Google Transit Feed Specification) to more

accurately capture its growing use in many other applications besides Google Maps (48).

Indeed, the standard has since grown to be adopted by nearly 700 agencies worldwide

(49).6 In the U.S., 272 transit agencies had adopted open data policies to provide their

GTFS feeds to the public as of March 2013 (50). Figure 4 shows this trajectory of

growth and when Google decided to tackle the issue of providing real-time transit

passenger information.

6 According to the website http://gtfs-data-exchange.com (accessed on November 7, 2013). This figure includes both official and unofficial feeds as well as some agencies that may have out-of-date feeds. Nevertheless, the scale of this figure is accurate.

52

Figure 4 Adoption of GTFS by U.S. transit agencies (82)

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Once Google was in the business of providing scheduled transit information, the

provision of real-time information followed a natural progression. In the summer of

2011, Google launched Live Transit Updates for Google Transit for Boston, Portland, San

Diego, San Francisco, Madrid, and Turin (51). This service provides real-time updates

on transit vehicle arrival times as well as service modifications/alerts within the Google

Maps trip planning function.

The real-time arrival time updates for Live Transit Updates relies on a bulk-

delivery data standard known as GTFS-realtime, which Google developed with the help

of partner transit agencies listed above as well as a number of individuals involved in the

development of applications for transit. The specification, in secret development for

about a year before its release, was made open following its release. Thus, GTFS-

realtime brought to real-time passenger information what it had done to static information

only a few years ago: introduced a robust open standard for moving data from agency and

vendor coffers into the hands of third-party developers.

Scope

Google developed GTFS-realtime in order for the company to consume real-time

transit feeds in Google Transit. As such, the standard differs in two fundamental ways

from TCIP and SIRI, the other two standards considered in this research, which were

developed primarily for intra-agency interoperability and communication. First, whereas

TCIP and SIRI each allow for payloads of data at the transit vehicle level, GTFS-realtime

provides a data payload only for an entire fleet of vehicles, what is often referred to as a

“snapshot” of the transit system. While some agencies might have hundreds or even

thousands of active vehicles at any given moment, GTFS-realtime is able to efficiently

53

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handle this data because it utilizes the lightweight Protocol Buffer data structure up to 10

times smaller and up to 100 times faster than XML serialized data (52).

This model differs from utilizing a transactional application programming

interface (API) such as the representational state transfer (REST) model that many

agencies choose to publish and SIRI has recently adopted as a transport architecture.

These transactional models allow for a more active conversation between interfaces. For

example, a client-based web application may make transactional requests to an API for

the next real-time arrivals for a specific stop (the next five buses to arrive at 5th St and

Main St).

The second fundamental way GTFS-realtime differs from the others is that it

operates on a strictly one-way communication model. That is, an agency publishes

GTFS-realtime for external bulk consumption. TCIP and SIRI offer more capabilities for

integrating real-time passenger information with operations. For example, TCIP was

developed with the architecture of an entire transit agency in mind. TCIP allows for

operational need to connect, for example, a bus' AVL system to other on-board

equipment. Similarly, SIRI allows buses to communicate with one another to, for

example, ensure that a timed transfer is made smoothly by informing Bus B to wait for

the passengers of Bus A if Bus A is running late.

Although these models may differ fundamentally, the primary concern of this

research is the delivery of real-time information on stop arrivals/departures, vehicle

locations, and service alerts. All three standards perform this function, whether they

function at the junction between bus and agency server, agency server and agency

web/sign interface, or agency server and third-party interfaces. The open data paradigm

54

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has shifted many progressive agencies from keeping data within intra-agency networks to

sharing this data outside agency walls. Whether agencies commit to a fully open or semi-

open model, the need for an effective data standard for real-time passenger information

remains.

Technical Documentation

The documentation for GTFS-realtime (53) provides an overview of the standard,

description and examples of the feed types, and a complete reference of the specification.

The standard has categories for three types of real-time information:

• Trip updates – delays, cancellations, changed routes

• Service alerts – stop moved, unforeseen events affecting a station, route or the

entire network

• Vehicle positions – information about the vehicles including location and

congestion level. (53)

These categories provide for most, if not all, of the crucial information about transit

service that passengers might be interested in. Certainly there are more complex pieces

of real-time information that are left unaccounted for here, such as information about

connections/transfers between routes or detailed data structures about transit facilities.

The technical specifications for SIRI, discussed below, capture much more of this type of

information and allow for more transactional data exchange models. However, the bulk

exchange model for GTFS-realtime requires the specification to be somewhat more

minimal than it might otherwise be. This does, however, help the standard to maintain a

limited scope and agencies to achieve implementations more easily.

55

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Development

Institutional Involvement

The primary institutions involved in the development of GTFS-realtime are

Google and the original six transit agencies who participated in the closed development

process. Since then, the specification has been adopted by a few more agencies (although

the precise number is difficult to come by). Google staff work actively to coordinate with

agencies on bringing them onto Google Maps and, by extension, onto the GTFS

specification.

Evolution

The history of institutional involvement for GTFS seems to have been instructive

for Google with its foray into real-time data. The company developed GTFS with the

benefit of transit industry expertise from a single agency. When the specification was

released publicly, there were initially a number of changes proposed and adopted almost

immediately. It is likely that Google revised its development strategy and institutional

involvement to include additional partners partly because of this experience. Another

possible explanation for this change in institutional involvement is that the company

wanted to expand its reach for bringing the standard around the globe by releasing Live

Updates for Google Transit with an international scope. Regardless of the reason, the

development of GTFS-realtime included a broader group of stakeholder institutions,

which has likely contributed to a decrease in post-release changes to the standard (see

Figure 5).

56

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Another crucial piece of the evolution of GTFS-realtime is the growth in

“repeaters” that exist for the standard, or small applications that convert a different

specification to GTFS-realtime. Repeaters allow agencies that have real-time passenger

information in one format to gain the benefits of an open standard like GTFS-realtime.

Currently, the known repeaters for GTFS-realtime were developed for use in

OneBusAway, the open source suite of tools for delivering passenger information. The

repeaters include support for the NextBus, SIRI (Vehicle Monitoring and Situation

Exchange), and ACS Orbital OrbCad AVL (54). While this bandaid solution to

interoperability is not perfect (especially for a proprietary format that could change at a

moment's notice) and it may be impractical to consider for every possible proprietary

closed format, it does begin to expand the sphere of influence of GTFS-realtime and,

importantly, allows for easy integration with the SIRI open standard.

57

Figure 5 Number of documented changes for GTFS vs. GTFS-realtime (80, 81)

0 1 2 3 5 6 7 8 9 13 14 17 230

2

4

6

8

10

12

GTFS-realtime

GTFS

Months after initial release

Number ofdocumented

changes

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Openness

GTFS-realtime is notable for the openness and transparency that governs it today.

Nevertheless, the standard was originally developed in the product development shroud

of Google secrecy for which the company is renowned (or notorious, depending on the

perspective). Original participants in the development of the specification signed non-

disclosure agreements in order to keep the details of the project closed. This is truly the

antithesis of openness; however, a participant of the process notes that in the realm of

standards development the barriers to initial development and publication are high. This

closed process allowed the participants to quickly develop the specification and deploy

implementations in the absence of painstaking and meticulous debates with a wide array

of stakeholders.

With the release of the standard in 2011, Google removed the barriers to

widespread participation. Open communication is maintained on a publicly-accessible

mailing list (https://groups.google.com/forum/#!forum/gtfs-realtime). Change proposals,

technical issues, and clarifications are all discussed on this forum by an active community

of agency staff, Google staff, and transit application developers/enthusiasts. The general

policy on changes to the standard is carried over from the policy governing GTFS. That

is, in order for a change to the standard to be considered it must see interest both from

application developers and transit agencies. The policy is intended to keep the standard

from becoming bloated with superfluous data and relevant for all stakeholders. As for

intellectual property rights, the specification is published under the permissive Creative

Commons Attribution 3.0 License (55) and all code samples are available under the

Apache 2.0 License (56).

58

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Success

As mentioned previously, the static GTFS specification has been adopted by

hundreds of transit agencies around the United States and around the world. Because the

GTFS-realtime feed works in conjunction with GTFS, it stands to reason that many

agencies will invest in making their schedule information work seamlessly with their

real-time information. While this sounds simple on paper, in reality many agencies that

have AVL and scheduling systems will have different vendors providing each system.

Applications that deliver real-time information along with scheduled information (e.g., to

provide information on route geometries and stop locations along with real-time arrival

times) require the reconciliation of object identifiers in schedule and real-time systems.

In other words, trip identifiers or route identifiers in the schedule must match (or be

translated to match) those identifiers in AVL systems. Nevertheless, GTFS and GTFS-

realtime appear to be in a strong position to serve that role, especially thanks to the

support of real-time “repeaters” that translate the NextBus API specification, SIRI, and

others into GTFS-realtime (57).

4.2.2 TCIP

Background

History

The development of Transit Communication Interface Profiles (TCIP) was

initiated by the USDOT's Intelligent Transportation Systems Joint Program Office (ITS

JPO) in November 1996. Industry professionals came to the realization that in order for

transit technology systems to move forward in a progressive and constructive way,

59

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standards needed to be an essential part of the conversation. The standard, funded by the

ITS JPO and originally developed by the Institute of Transportation Engineers (ITE),

switched ownership to APTA in 2001 primarily because of APTA's stronger expertise in

the transit industry (58). It was under APTA that the bulk of the standard was developed.

Scope

The primary goals of TCIP are to achieve intra- and inter-agency interoperability

and to decrease the negative effects of vendor lock-in. These goals are in direct

agreement with the federally-mandated concept of regional ITS architectures. However,

another one of its goals according to an APTA presentation from 2010 is to lead to

interoperability “between an agency and external Information Service Providers” (59).

This goal of interoperability with Information Service Providers suggests that the TCIP

standard might cater to the recent growth of application developers that have latched on

to the open data movement in order to provide information to transit customers. This is

indeed an important goal, but may be difficult for TCIP to fulfill simply because of the

sheer flexibility and customization that the standard allows7.

Technical Documentation

The documentation of each version of TCIP (including the current version) is

currently hosted on the APTA TCIP website in the form of zipped MS Word documents

(60). The standard itself is expansive, providing XML-formatted schema for nearly every

type of transit technology subsystem and business area imaginable including:

7 TCIP provides an expansive “menu” of options that can be specified for a given product/interface. For example, there may be 40 different fields (some of which may be required) for a certain message type. However, one vendor in compliance with TCIP may specify ten of these fields for its product, while anothervendor specifies ten different fields. Both may be TCIP-compliant, but the interoperability is not necessarily ensured. This is, of course, a concern with any flexible standard, but the breadth of TCIP makesit especially so.

60

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• Scheduling,

• Passenger Information,

• Onboard Systems,

• Common Public Transport,

• Control Center,

• Fare Collection,

• Spatial Referencing, and

• Transit Signal Priority (TSP). (61)

Figure 6 shows a diagram of the expansive TCIP Model Architecture. The standard

provides building blocks from these schema out of which systems engineers can build

interfaces that are compatible with one another.

61

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TCIP allows for the construction of system interfaces through a hierarchy of data

“elements” that compile into “frames” which compose “messages” that are passed

between interfaces in “dialogs” or data exchanges. Figure 7 shows a diagram of this

hierarchical organization. This extremely flexible system allows for an immeasurable

number of combinations and permutations for systems to communicate with one another.

In practice, there may be need for only a few sets of standard messages to send between,

for example, a CAD-AVL system and Web-based trip planner. The developers of TCIP

have accounted for this by making standard message sets available through TIRCE, or

TCIP Implementation Requirements and Capabilities Editor, an application that allows

users to build custom message sets and dialogs.

62

Figure 6 Diagram of TCIP Model Architecture (59)

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Development

Institutional Involvement

While the TCIP standard development process began under ITE, the standard

underwent the bulk of its development and refinement while under the direction of

APTA. A series of technical working groups (TWGs) composed of a mix of transit

agency staff and vendor representatives developed the definitions and schema for TCIP.

A TWG existed for each major business area with an additional one for Tools (TWG 4),

for a total of 10 TWGs.

63

Figure 7 Diagram of conceptual hierarchy for TCIP building blocks (59)

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An examination of the Passenger Information TWG (TWG 2), for which real-time

passenger information messages and elements are defined, shows the institutional

makeup of those involved in the standard development process. Figure 8 shows the

breakdown of institutional involvement in the Passenger Information TWG. The vendor

category is comprised of consultants to APTA, technical staff, and managerial staff. The

agency category is comprised of technical and managerial staff from transit agencies.

The TWG category is made up of APTA staff.

From this chart, it is clear that vendors make up the largest bucket of institutions

involved in the standard development process with 27 representatives; agencies make up

the second largest group with eight representatives; and TWG staff and academia are the

smallest groups with one and two members, respectively. Although, the number of

representatives listed on a contact sheet for the TWG is a primitive means to begin to

understand the interplay and influence on the standard development process, in the

64

Figure 8 Participants by sector in TCIP Passenger Information Technical Working Group (83)

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absence of complete and organized minutes of past meetings, it offers a glimpse at how

institutions were represented in this process. According to Lehr, there are many scenarios

of strategic decision-making that occur within standardization committees. For example,

new market entrants and entrepreneurs are more vulnerable to delays and so stable,

incumbent firms may attempt to delay standardization outcomes (62). Nevertheless, this

process necessarily incorporated vendor input because these firms often know many of

the technical issues facing standardization firsthand.

Evolution

Most of the development work for TCIP was completed around 2006. The

standard moved from active development to a five-year review cycle at that time. A

comprehensive analysis on the changes made to TCIP is more difficult than for GTFS-

realtime or SIRI (see next section). The TCIP documentation is extremely lengthy, and

each version is contained within a series of word documents. This document structure

makes a comparison very cumbersome at best, impossible at worst. The versions are,

however, labeled according to software numbering conventions and number at a total of

fifteen versions (from version 1 to the current version 4.0). The most noteworthy change

for this research appears to have come in TCIP version 3.0.5.2, which was issued on

March 1, 2012 (63).

In version 3.0.5.2 of TCIP, a GTFS timetable importer was included in the

standard. While prior to this version TCIP has made reference to a number of other

industry-accepted standards, these other standards have all been maintained by accredited

SDOs. This is the first acknowledgement that, in some areas, de facto standards and

specifications have an important role to play. Indeed, before GTFS there were no de

65

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facto standards adopted so widely to be worth including. However, it appears that when

hundreds of transit agencies (large and small) began to move towards a specification,

APTA took notice and decided to adopt the specification (albeit only as an importer) into

its transit standard family.

Openness

The standard development process for TCIP itself was open and transparent,

allowing any interested party to be involved in the development or comment on version.

APTA's standard development process is modeled after that of the American National

Standards Institute (ANSI), a well-established voluntary consensus standards

development organization whose membership comprises “more than 125,000 companies

and 3.5 million professionals” (64). When it comes to transparency, though, there are

some issues related to communication of information regarding the TCIP standard.

On the one hand, there is a wealth of information available on the standard's

website. Such information includes all previous versions of the standard, archived

meeting notes, free support tools for working with the standard, TWG member lists and

meeting attendee lists, a database of comments on the standard, and more. While the

number of archived documents is impressive, the organization of the material is

confusing. Just as the documentation for changes between versions is buried deep within

large MS Word documents, so is the information contained within these archives. The

content is searchable via a well-indexed search engine, but the organization of the

website is poor and nearly all content is in the form of sizable MS Word documents that

must be downloaded and parsed through.

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Success

Measuring the success of TCIP by the number of implementations for real-time

passenger information would suggest that the standard has achieved less than it truly has.

There is no good indicator of how many agencies use TCIP to communicate real-time

passenger information either within an agency or to a third party. The only well-

documented instance of TCIP used for real-time passenger information is the pilot project

developed at LYNX (65), the Orlando-area system operated by the Central Florida

Regional Transportation Authority. This implementation of TCIP, however, will likely be

discontinued in the near future according to the interview conducted for TCIP. This is not

to say that the standard is not used in other business areas and for related purposes. There

have been a number of other pilot projects around the country, including at King County

Metro, Maryland MTA, and Chicago Transit Authority. In fact, New York City MTA

utilized modified parts of the standard for a recent project8 to deliver real-time

information to customers (66). Additionally, a recent TCRP synthesis on electronic

passenger information signage in transit reported that six other agencies in the U.S. (not

counting NYC MTA) utilized TCIP for real-time passenger information (67).

While there are a number of projects that draw on TCIP, the standard is far from

achieving its goals of providing intra- or inter-agency interoperability. While these goals

might have been achieved in a few cases around the country, TCIP has seen nowhere near

the adoption rate of GTFS. Based on the integral relationship between GTFS and GTFS-

realtime and other factors discussed in the GTFS case study, this author conjectures that

the same dominance will hold true in time for GTFS-realtime. While TCIP may continue

to play an important role in ensuring interoperability between subsystems beyond real-

8 The real-time information system is known as MTA BusTime (http://bustime.mta.info/).

67

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time passenger information and in enabling the pursuit of custom solutions (such as with

NYC MTA), it is likely that it will be dwarfed by GTFS-realtime as it continues to grow

into new markets.

4.2.3 SIRI

Background

History

Developers of the first version of the Service Interface for Real-time Information

(SIRI) began working on the standard between 2004-2005 and the standard officially

emerged as a technical specification under CEN in October 2006 (68). The standard is a

result of the collaborative efforts from “equipment suppliers, transport authorities,

transport operators and transport consultants from eight European countries”

(69) including the Czech Republic, Germany, Denmark, France, Norway, Sweden, and

the United Kingdom. SIRI draws heavily from France's TransModel for its conceptual

framework, and the UK's Real-time Transport Interest Group (RTIG), Germany's Verband

Deutscher Verkehrsunternehmen (VDV), and the EU Trident project provided valuable

starting points for the development of the standard.

Scope

The development of SIRI brought together a number of national transit data

standardization programs in order to more effectively address standardization at a broader

scale. According to SIRI documents, the primary goals for developing the SIRI standard

were to give purchasers of real-time systems “a straightforward, watertight way of

procuring different components of a public transport information system from different

68

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suppliers” and to provide suppliers of such systems “a Europe wide market, ensuring that

their systems can be used in every country without needing to implement different

interface standards in each region” (69).

Thus, the benefits were perceived to be directly attributable back to purchasers (or

transit agencies) and suppliers (ITS vendors). An added benefit was the opportunity to

update existing standards (whether at the national level or for proprietary systems) to

account for emerging technologies (69). So, whereas in the U.S., TCIP was the first

standardization attempt (outside of proprietary specifications), SIRI was a “next

generation” standard for a few nations that had already implemented national standards.

Technical Documentation

Technical documentation for SIRI is available in English on the SIRI website in

the form of a white paper (69) and, far more extensively, as a handbook (70). As with

TCIP, SIRI extends far beyond the provision of passenger real-time information (though

perhaps not quite so far as TCIP). Among its ten services shown below, or functional

data categories, those in bold italics are those which are typically considered under the

umbrella of real-time passenger information:

• Production Timetable (PT) – provides information on expected (or scheduled)

transit service for a day in the near future

• Estimated Timetable (ET) – provides information on real-time deviations for the

current day, or only those trips currently in operation

• Stop Timetable (ST) and Stop Monitoring (SM) – gives scheduled information

(ST) and real-time deviations (SM) at the stop level

69

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• Vehicle Monitoring (VM) – sends real-time information on the location of a

transit vehicle

• Connection Timetable (CT) and Connection Monitoring (CM) – gives scheduled

information (CT) and real-time deviations (CM) to inform a departing vehicle on

the need to wait for an arriving vehicle at a stop or station serving multiple routes

• General Message (GM) – exchanges basic text messages between entities

• Facilities Management (FM) – provides information on the status of facilities,

such as elevators or escalators that are out of order

• Situation Exchange (SX) – exchanges structured messages between entities (68)

While the Estimated Timetable, Connection Monitoring, and Facilities Monitoring

services all provide real-time information that may be of value to the operations and even

some customer use cases, they are not necessarily within the scope of this research. Stop

Monitoring and Vehicle Monitoring, however, fall well within the definition of providing

schedule deviation/adherence and vehicle locations.

Development

Institutional Involvement

SIRI is the result of collaboration between a number of firms and governments

throughout the European Union. Working group meetings for the standard are attended

by representatives from each member country to CEN, although historically the most

participation and interest have come from Germany, France, the UK, and Scandinavian

countries. As mentioned above, a few national standards already existed from which

SIRI draws a great deal. Because these standards already existed, some interesting

70

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accommodations were made in order to satisfy the interests vested in these preexisting

standards. For example, in order that previous implementations of the German VDV

standard might not be broken, two separate XSDs (XML schema definitions)—a nested

and flat version—were maintained for some time. This is a peculiar example of how

institutional and political values can outweigh the purely technical in standard

development.

Evolution

Like GTFS and GTFS-realtime, a well-organized set of versions and their

respective changes is maintained on the SIRI website (71, 72). A list of all changes made

since version 1.2 (April 7, 2007) is maintained there, along with—beginning with version

2.0—the country code of who initiated each change (e.g. Germany (DE), the United

Kingdom (UK), France (FR), etc.). The SIRI standard began as a CEN technical

specification, a “normative document… that would not gather enough as to allow

agreement on a European Standard... or for providing specifications in experimental

circumstances and/or evolving technologies” (73).

The most recent version of SIRI (2.0) was drafted into a proposal in order to

become the more robust and rigorous European Standard (EN), a cornerstone of the

concept of the Single European Market to facilitate effective trade both within and

beyond Europe (74). This continued work and development on SIRI signal its continued

importance in European markets and even in the US, where the NYC MTA heavily

incorporated the standard into its MTA BusTime project mentioned in the TCIP case

study above.

71

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Openness

Much like TCIP, SIRI is developed within the confines of a formal, accredited

SDO, the European Committee for Standardisation. As such, the standard development

process is open and consensus-based, relying on a set of protocols that have been

established for the review, adoption, and maintenance of many standards under CEN.

Nevertheless, there are components of the SIRI standard that present barriers to open

participation and implementation of the standard. For one, meetings for the standards are

only open to participants of national committee members. Others may participate as

observers, but only on an invitational basis. Further, while the license restricting the use

of the standard only requires that copyright holders be acknowledged, formal standard

documentation must be purchased via the national member sites (e.g., via VDV's

website)9 and reproduction of any part of supporting standards produced by non-members

is prohibited without permission from these copyright holders. These barriers to

implementation and participation are minor, but remain impediments to becoming a fully

open standard.

Success

The continued and active development on SIRI points to its success as a standard,

especially in European markets. However, the standard would not be under consideration

had it not seen some interest and adoption in the U.S. market. NYC MTA is one of the

agencies that continues to push the evolution and development around SIRI, having

adopted it for MTA BusTime and pushing to add JSON (JavaScript Object Notation – a

9 Purchase of the SIRI specification was confirmed by an interview with a participant in the SIRI standardsdevelopment process. While there exist sites that host what appears to be the complete SIRI documentationfree of charge (http://www.siri.org.uk/), the researcher could not locate the national member sites where documentation or schema were available for purchase.

72

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lightweight, web-ready alternative to XML) formatting and modern web service transport

methods to the standard (75). There are at least five other U.S. transit agencies reporting

usage of SIRI in a recent TCRP Synthesis on the use of electronic passenger information

signage in transit (67). Compared with the usage of either TCIP or GTFS-realtime this is

certainly a strong showing, especially given that this standard was imported from the

European Union.

4.3 Comparison of Standards and Standards Development Processes

4.3.1 Assessment of Openness

The framework used here to assess the openness of the real-time standards

considered in the case studies draws heavily from Krechmer's ten requirements of open

standards. While the categories were interpreted slightly differently than his original

descriptions to account for some of the idiosyncrasies of the requirements and to apply

them more directly to this case, the open standard requirements remain largely

unchanged.

The three case study standards (GTFS-realtime, TCIP, and SIRI) were each given

a scoring for the ten requirements. Table 4 shows the scoring of these categories broken

out. The scoring methodology was taken directly from Krechmer, with a few

modifications for this specific context. Appendix B: Openness Index Scoring describes

the breakdown of scoring for each requirement, the range for each category, and a

selection of notes that support the scoring decisions presented in Table 4.

The three open standards are considered alongside the NextBus API specification

solely to compare with a closed specification from the industry. While TCIP and SIRI

perform nearly identically in every category, GTFS-realtime earns higher marks in open

73

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meetings, open IPR, open change (a direct representation of its stronger performance in

open meeting), and open documents. NextBus, on the other hand, being a closed

standard shows a low openness index, although it does earn a few marks in the open

world, open documents, and on-going support categories.

The results from the above table suggest that GTFS-realtime is a more open

standard than either TCIP or SIRI, which are both managed through accredited SDOs.

What explains this finding? Krechmer defines open standards as understood from the

lens of open source software. This is a very democratic and distributed perspective that

values not just consensus-based processes, but also the openness that is ascribed to fully

open meetings that are held and recorded for posterity online. It also depends on clear,

complete, and available documentation. It is in these areas where GTFS-realtime excels

most. Any discussion of the future of the standard is discussed online in an open forum.

The IPR licensing is clearly stated and defined on the GTFS-realtime documentation

(whereas with the others it is somewhat obscure). The documentation is fully available

online and presented in a coherent, concise way.

74

Table 4 Openness index scores for real-time transit passenger information standards

RequirementsStandards

SIRI TCIP NextBusOpen Meeting 0 0 1 0Consensus 1 1 1 0Due Process 1 1 1 0Open World 1 1 1 1Open IPR 2 3 4 0Open Change 0 0 1 0Open Documents 2 1 3 1Open Interface 1 1 1 0Open Access 1 1 1 0On-going Support 3 3 3 2

TOTAL 12 12 17 4

GTFS-rt

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Certainly, there may come a time when Google decides to move away from

providing transit information (though this appears unlikely given its investment in the

product worldwide). Yet because GTFS-realtime is so well documented and the content

is clearly licensed, GTFS-realtime could easily spin off and continue to develop if the

adoption and interest were great enough. It is for these reasons that GTFS-realtime

scored higher on the openness index and perhaps why the standard may continue to

flourish.

4.3.2 Implementations

Each of the case studies examined the success of implementations for each of

three standards. According to data compiled from multiple sources, there appear to be

similar levels of adoption for the standards (67, 76). Figure 9 below shows data from the

2013 APTA Survey on real-time information provision, indicating that the closed

NextBus specification seems to hold the largest market share10. Even comparing with

data from TCRP which suggests that TCIP has seven U.S. implementers and that SIRI has

six, this observation holds true.

10 It is also worth noting that, although the survey indicates that 12 APTA member agencies have implemented NextBus, the NextBus website (https://www.nextbus.com/agencies/ accessed on August 2, 2013) reports that approximately 80 U.S. agencies have NextBus real-time systems (this includes APTA member agencies, some of which are duplicated in the list, as well as small university or circulator systems). This suggests remarkable rates of adoption for NextBus and is important to consider, yet this analysis will take into account only those agencies within the scope of this research, i.e. APTA member transit agencies.

75

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An important caveat to the standards' levels of adoption is a look at how these

adoption levels have grown over time. This is, of course, a rough an imprecise measure

because there are a variety of complex and difficult-to-measure factors that influence

standard adoption (network effects, lock-in, etc.). Nonetheless, Figure 9 gives a picture

of how quickly these different standards have seen adoption since their inception. The

table shows the average number of agencies that have adopted each standard per year.

The year of inception is based upon the date that documentation was first made available.

For GTFS-realtime and SIRI, there is a strong confidence that the year of inception is

accurate. However, for NextBus and SIRI there may be instances where implementations

were in place before the year shown.

76

Figure 9 Adoption of real-time data standards (76)

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The above table shows that, even though it is relatively new, GTFS-realtime has

the second highest number of agencies with implementations and the highest adoption

rate (average agencies per year). This finding holds true with reasonable expectations for

GTFS-realtime based on its integral relationship to GTFS, which hundreds of agencies

have adopted in a period of approximately 7 years (estimated adoption rate of

approximately 40 agencies per year). Assuming that Google continues to utilize GTFS-

realtime for its products and the standard review process remains open to full public

participation, it is likely that this adoption rate will continue to increase.

77

Table 5 Average adoption rate for (agencies per year) for real-time standards (67, 76)

Standard Year of inception Number of agencies Agencies per yearNextBus 2009 12 3.00TCIP 2006 7 1.00SIRI 2004 5 0.56

2011 8 4.00GTFS-rt

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CHAPTER 5

RECOMMENDATIONS

5.1 Moving Ahead for Innovation in the 21st century

Effective real-time passenger information systems are crucial to satisfying

customers' expectations and demands. Transit riders are adopting smartphones and still

waiting for the bus. Budget-constrained agencies can deliver this information with

relatively little infrastructure by making use of often pre-existing AVL systems and

pursuing the open data policies already adopted by President Obama's administration.

There are certainly costs associated with this approach, especially if AVL data are

contained within a proprietary format. Nevertheless, the open standards that have

developed over the past couple of decades allow a path forward to break vendor lock-in

and reduce switching costs in the future.

While Moving Ahead for Progress in the 21st Century (MAP-21) addresses ITS in

general ways and allocates some funding for ITS (77), there are some opportunities to

address transportation technology and policy in the next-cycle authorization bill. MAP-

21 funding ends with FY 2014, so the next authorization bill will likely be introduced

sometime before the current fiscal year ends. The President's Executive Order (EO) on

open data for federal agencies offers an opportunity for the USDOT, specifically the FTA,

to couple ITS improvements at the local level with open data initiatives. The framework

to pursue these initiatives is in place—thanks to progressive agencies such as TriMet and

others—should Congress find that such a policy is in the nation's best interest. Open

78

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data, besides being a force for government transparency and cost effectiveness, provides

sparks for innovation in both the public and private sectors.

One major criticism in this paper of TCIP is that documentation on the standards

development process and the standard itself is difficult to consume. As mentioned above,

understanding the changes between versions of the standard is difficult because there is

no list of versions and their respective changes over time. If this is difficult for the

researcher, it is almost certainly difficult for any organization interested in implementing

the standard. Therefore, another recommendation that follows the aim of transparency

from the open data EO is to substantially reorganize this content to improve not only how

the comprehensibility of the information therein, but also to simply improve the

transparency of the project generally.

5.2 Predictions for Continued Trends

Based on the historical success of GTFS and the indirect network effects that

bundle the static specification with its real-time component, there will likely be

widespread adoption of GTFS-realtime in the near future. The 2013 survey on real-time

arrival information by APTA (76) and TCRP Synthesis 104 on electronic signage by

Schweiger (67) mentioned above both capture a great deal of valuable information about

the current market for real-time information.

One point drawn from the market analysis provided by the APTA survey is that

there is immense demand by agencies to share real-time passenger information with their

customers. Currently only 37% of agencies are providing real-time information via an

API or web or mobile application. For agencies without AVL systems, the vast majority

of them (92%) are interested in installing AVL on their vehicles. Even of those agencies

79

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that have AVL systems already, 47% currently do not provide customer-facing real-time

arrival times.

The benefits of public-facing (especially mobile) information systems have been

well established (see Chapter 1), so it is likely that the agencies with AVL but without

public-facing systems will soon move forward with a public-facing solution. In fact,

Figure 10 shows the reasons agencies are not providing arrival times to the public. While

8% of these agencies have projects in progress and a handful of others have

organizational or technical restrictions, over 20% simply are constrained by technical

ability or funding constraints. As open standards diffuse into the market, economic

theory dictates that the cost of implementation will decrease, making feasible solutions a

realistic option for more and more agencies.

By cross-referencing data sources that capture the usage of real-time transit

passenger information standards, it appears that SIRI, GTFS-realtime, and TCIP all have

a similar number of implementations in the U.S. However, the adoption rate for GTFS-

realtime far outpaces that of either SIRI or TCIP (and even beyond that of NextBus, a

80

Figure 10 Reasons given by transit agencies for not providing public arrival times (76)

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popular proprietary solution). Anecdotal evidence from open source repository hosting

applications such as GitHub (https://github.com) suggest that software development is

most active around GTFS-realtime. While this should not serve as concrete evidence of

adoption or even transit agency interest, it does bring up the question of how open

movements (open standards, open data, and open source) overlap and reinforce one

another and how this might apply to the case of real-time transit passenger information.

5.3 Federal Policy Recommendations

To date, there has been little visible response from the federal government to the

development of alternative de facto standards for passenger information such as GTFS

and GTFS-realtime. True, GTFS was incorporated into TCIP in version 3.0.5.2 of the

standard that was issued on March 1, 2012. However, it is unclear how effective the

inclusion of this GTFS timetable importer has been for the proliferation of TCIP and,

consequently, how effective such action would be for including translators or importers

between GTFS-realtime and TCIP or SIRI and TCIP. It seems that the federal

government could take one of a few alternative paths of engagement to respond to the

likely proliferation of GTFS-realtime or the possible proliferation of SIRI in the United

States. The paths listed here are as follows:

1. Achieve Interoperability – work to develop translators or importers for de facto

standards to keep TCIP relevant (as with static GTFS). In 2012, APTA released a

new version of TCIP that included the functionality to import static GTFS

“timetables” into TCIP-formatted messages. This could be an approach for

keeping TCIP interoperable with real-time passenger information provided by

agencies with GTFS-realtime, SIRI, or any other open standard.

81

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This path is not recommended by this researcher because the cost of

the approach is shouldered by the public sector rather than developers or vendors

that otherwise might be incentivized to shoulder the development work

themselves.

2. Provide Guidance to or Incent Vendors/Agencies – shift focus to providing

guidance on the development of open systems and use of open standards where

real-time passenger information is concerned. Incenting vendors or agencies to

provide open standards is listed as one of the FTA strategies to study in a 2011

FTA report prepared by the Volpe Center (11). The status of this program is

currently unknown. However, the approach listed in this document promoted

incentivizing only the adoption of TCIP. A more flexible approach would be to

incentivize the adoption of any one of a set of open standards (perhaps any one of

the three standards studied in this research). Such an action would (a) encourage

a flexibility of approaches that would all be open, (b) allow market forces to

shape an efficient outcome, and (c) possibly spur the market of vendors or civic

hackers to further develop translator/repeater to convert from one standard to the

next.

This path is recommended because it draws a balance between cost

effectiveness and ensuring the promulgation and (possibly) eventual

interoperability of all open standards concerned. In this approach, there may be

costs involved with incentives provided (whether they be financial or not), but

these costs are likely to be less than Approach 1 and have the added benefit of

engaging all stakeholders actively. Additionally, this path provides opportunities

82

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for the TCIP standard to be adopted for other functional areas within transit

agencies. If GTFS-realtime in fact becomes a de facto standard for real-time

passenger information (just as GTFS has already become), agencies may find

greater benefit in TCIP if the standard is compatible with GTFS-realtime.

3. Follow Existing Path (Do Nothing) – do not respond to the high adoption of

real-time passenger information standards; let the market manage the adoption of

standards and rely on regional ITS architectures to guide this process. This path

is not recommended because it ignores the clear response of agencies to adopt

open standards, whether TCIP or not. This policy response does not work to effect

change or assist agencies or vendors that are interested in supporting open

standards and, in turn, promoting the goals of regional ITS architectures to intra-

and inter-agency interoperability as well as interoperability with emerging

technologies and systems.

83

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CHAPTER 6

CONCLUSION

This research has addressed the history and background of federal ITS policy and

the role of real-time transit passenger information. A comprehensive literature review of

standard setting theory has helped to frame the multiple case study approach to

understanding and reviewing the standard development processes for and institutional

influences on GTFS-realtime, TCIP, and SIRI—the major open standards used in the U.S.

for the delivery of real-time transit passenger information. Among the impacts analyzed

here are the effect that the standard development processes have had on the adoption and

diffusion of the standards, or the “success” of each standard. Federal policy

recommendations on the role of government in this area of growing importance are

provided here as well.

6.1 Key Findings

A crucial finding of this research is that standards that open themselves to

participatory and democratic processes (characterized by clear documentation, open

communication—e.g. via mailing list—and rough consensus) may begin to play a larger

role in technology and society. This has been demonstrated by Krechmer and others (24,

25) with the influential role that IETF has played in building standards for the Internet—a

process which is not without criticism or issues of its own (78)—one of the most

important technology systems for today's economy and society.

These case studies also suggest that early, on-the-ground implementations of

standards are critical to achieving adoption. Much like IETF, GTFS-realtime began as an

invitation-only group in order to get rough installations of the standard implemented and

84

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working before opening the standard to the general public. This model is unable to

account for the complex and comprehensive standards that may result from committee,

but perhaps the committee approach is not always the most effective way to see

standardization occur in an industry—unless broad consensus is met on implementation

of the standard as with HDTV in the U.S. (see Public Policy and Standards

Development).

As a strategy to achieve interoperability in this important area of transit ITS, the

researcher recommends an incentive strategy for the federal government to promulgate

open standards for real-time transit passenger information. By incenting vendors and

agencies to adopt any open standard (not just TCIP), the FTA would (a) encourage a

flexibility of approaches that would all be open, (b) allow market forces to shape an

efficient outcome, and (c) possibly spur the market of vendors or civic hackers to further

develop translator/repeater to convert from one standard to the next. Such an approach

would be cost-effective, engage the broadening base of stakeholders, and embrace the

language supporting open and machine-readable government information in President

Obama's Executive Order 13642.

6.2 Future Work

Future work should include a comprehensive and systematic survey of transit

operators, vendors, and the emerging group of contributors to transit web and mobile

information systems. In addition to confirming the exact interfaces and standards

implemented (in past surveys, responses sometimes indicate contradictory or confusing

results), the survey should quantify perceptions and attitudes about open and proprietary

standards. Commendably, APTA has begun to do this with their 2013 survey (see Figure

85

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11), yet a cross-sectional look at not just agencies, but also vendors and other

contributors, will help to clarify a complete vision of the state of standards development

and adoption for real-time transit passenger information.

This proposed survey could tap the members of mailing lists maintained on

Google Groups dedicated to the discussion of these specific standards (such groups

currently exist for GTFS-realtime and SIRI) and the development of transit applications

generally. It would be instructive, too, to revisit the vendor perspectives on open

standards explored by Hickman in 1998 (38). While this research considered only APTA

member transit agencies, expanding the scope to all transit operators in the region

(including small circulators and university systems) would help to clarify the overall

picture of perspectives on open standards.

Another future research area that may already be underway at FTA is to

understand what kind of incentive structure would best spur agencies and vendors to

86

Figure 11 Issues agencies have with adoption of open standards for real-time data (76)

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adopt open standards. Currently the research scope for agency and vendor incentives at

FTA only allows for TCIP; however, it is crucial that other open standards for real-time

transit passenger information be recognized as an integral pieces to a larger puzzle. The

comprehensive survey work described above would help to clarify the type of incentives

needed to move the industry toward open standards.

While such research would be valuable to understanding motives and market

forces currently in play, the next few years of standardization may obviate the need for

such research. As open standards spread in the United States and the demand for real-

time transit passenger information grows stronger, the industry may reach the tipping

point of de facto standardization, enabling an efficient and effective marketplace for both

purchasers and suppliers of real-time systems. The adoption of a standard by an industry

and even a single agency is a complex phenomenon, full of many difficult to measure

externalities. However, the open standards marketplace and the standards themselves can

be made more efficient and effective through greater transparency and the further

democratization of the standards development process.

87

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APPENDIX A

INTERVIEW QUESTIONS

Interview Questions

Interviewee's role in standard development• Were you involved in the initial development of the standard?◦ If so, what was your role in the past?◦ What is your role now?

• What are the number of hours you commit to the standard per month or week?◦ How would you define the nature of this work?▪ Support▪ Development▪ Stakeholder Coordination▪ Other

◦ How has this commitment level changed over time?• Do you work closely with others on the standard?

History of standard development process• When did the standard development process begin?◦ Did the standards development process begin with a different organization?◦ If so, how did the transition between organizations occur?

• Have changes been made to the standard itself over time?◦ If so, how frequent have these changes occurred?◦ Could these changes be categorized as major (structural or purpose) or minor

(technical details)? Do you have any examples?◦ What are some changes currently under consideration for the standard?

• How have the different groups of stakeholders for the standard changed over time?◦ Who are the existing stakeholders?◦ Would you characterize each of these stakeholder groups as active, moderately

active, or inactive?• How do you anticipate the standards development process to change in the future?◦ Do you expect changes to the goals or purpose of the standard?◦ Do you expect changes to the organization charged with developing the

standard or governance of the standard?◦ Do you expect major substantive changes to the standard itself?

Meetings, Consensus, and Formal Processes

88

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• Are meetings held to discuss the standard development?◦ What is the forum for these meetings (in other words, are they held

electronically, over email, in person)?◦ What is the frequency of these meetings?◦ Are these meetings open to the public?◦ How and to whom are these meetings publicized?

• Is consensus a requirement for decision making?◦ How is consensus defined in this context (somewhere between 51% and

99%)?◦ If consensus is not reached what happens to the issue at hand?

• What are the formal procedures that must be followed when considering change proposals, comments, or change adoptions?◦ May anyone make their views known?◦ What must occur for a change to be adopted formally into the standard?▪ Are there balloting procedures?▪ Who can participate in the balloting?

IPR, Global Availability• Under what license is the standard provided?◦ Are there restrictions on the use of the standard?◦ Do these restrictions infringe upon reasonable and non-discriminatory

(RAND) terms?• Could the standard be implemented anywhere in the world?◦ Are there technical restrictions on its use in another country (such as language

or character encodings)?◦ Is the standard dependent on other standards that are only available on a local,

regional, or national basis?

Transparency, Interface, and Access• Are discussions pertinent to standard made in a public forum, where anyone may

participate?• Are work-in-progress documents (technical proposals, meeting minutes/reports,

or proposed changes) made openly available and published publicly?◦ If not, to whom are these documents available?

• Is documentation on the final standard available publicly?• Is there a method by which interested parties can be alerted to news related to the

standard?• Are different versions of the standard developed to be forward and backward

compatible?◦ What is required of implementers in order to make an implementation of the

standard function with a different version?• Are implementers of the standard able to verify conformance with the standard?

89

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◦ Are users able to verify conformance?◦ What tools are available for validating an implementation?

• Are there multiple implementations of the standard available that users can access?

Support for Implementers• Is support for the standard on-going and available for any user or implementer?◦ If not, what are the restrictions on support for the standard?

• Are the phases in the lifetime of the standard for which support is not provided? ◦ The five phases of a standard's lifetime can be defined as: (1) creation, (2)

fixes, (3) maintenance, (4) availability, and (5) rescission.

90

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APPENDIX B

OPENNESS INDEX SCORING

91

Requirements RangeSIRI

Score Notes

Open Meeting (0-1) 0Consensus (0-1) 1 Proposals are approved on a consensus basis.Due Process (0-1) 1 Due process is followed per CEN policies.

Open World (0-1) 1

Open IPR (0-4) 2Open Change (0-1) 0 The first five requirements are not met.

Open Documents (0-3) 2

Open Interface (0-1) 1

Open Access (0-1) 1

On-going Support (0-3) 3TOTAL 12

Meetings are primarily only open to member countries, though there may be occasional exceptions to invite contributors on an ad hoc basis.

There are implementations in a number of European countries as well as in the United States.According to the SIRI website, the schema is copyright of the member companies and organizations. The schema may be used as long as these bodies are acknowledged. However, the schema may not be reproduced without permission of the identified copyright holders.

Documentation for the current standard (and past versions) is freely available. The documentation is well organized and easy to consume. However, according to the interview, the official documentation must be purchased from national member sites. This could not be confirmed after through research and so may need future investigation.The specification aims to meet forward and backward compatibility principles.The SIRI website makes available a number of examples to verify compliance against as well as a number of implementations around the world.According to interviews, SIRI has an active community that contributes to ongoing support of the standard. The strong interests of CEN member countries in the standard suggests that it will see lifetime support.

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92

Requirements RangeTCIP

Score Notes

Open Meeting (0-1) 0

Consensus (0-1) 1Due Process (0-1) 1 Due process policies are documented on the TCIP website.Open World (0-1) 1 There are implementations in the US and Canada.

Open IPR (0-4) 3Open Change (0-1) 0 The first five requirements are not met.

Open Documents (0-3) 1

Open Interface (0-1) 1

Open Access (0-1) 1

On-going Support (0-3) 3TOTAL 12

While meeting participation is available to all parties and there are some meeting minutes available online, implementers have no way to easily consume all of these documents nor is there a clear path to becoming involved in meetings on the standard.Proposals are approved on a consensus basis, which is documented on the TCIP website.

According to interviews, use and redistribution of the standard is permitted. However, the licensing is not clearly indicated on the website for the standard or in any documentation.

Documentation for the current standard (and past versions) is freely available. However, the documents are poorly organized and difficult to consume. The availability of meeting minutes is patchy. Understanding the changes made to each subsequent version is cumbersome.The standard aims to meet forward and backward compatibility principles.Accessing and verifying the validity of other implementations is made easy with free tools to process and develop message sets.APTA engages in a regular maintenance plan to review and revise TCIP on a periodic basis.

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93

Requirements RangeGTFS-rt

Score Notes

Open Meeting (0-1) 1Consensus (0-1) 1 Proposals are approved on a consensus basis.

Due Process (0-1) 1

Open World (0-1) 1

Open IPR (0-4) 4Open Change (0-1) 1 The first five requirements are met.

Open Documents (0-3) 3

Open Interface (0-1) 1

Open Access (0-1) 1

On-going Support (0-3) 3TOTAL 17

Meetings are open to any and all contributors and are accessible via a mailing list on a Google Group.

Change proposals and comments are vetted in a transparent forum on the mailing list. In order for proposals to move forward, they must have support by both a developer and implementer.The specification was released with implementations in the US, Canada, Spain, and Italy.The license for the specification is clearly published. Use of the standard is permissive and parameters on its use and redistribution are clearly outlined.

The documentation for the specification is clear and concise. There is clear documentation on how to use the specification. “Meeting minutes” and discussions are fully preserved on the mailing listThe specification aims to meet forward and backward compatibility principles. Extensions made to the standard will not break the existing standard.Accessing and verifying the validity of other implementations is made easy with open source tools to process implementations.Because the standard is available with an express and permissive license and because the standard is not housed within a formal SDO, the maintenance of the specification could proceed even if Google decided to abandon the standard.

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94

Requirements RangeNextBus

Score NotesOpen Meeting (0-1) 0 There is no open meeting to discuss the NextBus specification.

Consensus (0-1) 0Due Process (0-1) 0 There is no formal process for filing comments on the specification.Open World (0-1) 1 The specification has implementations in the US and Canada.

Open IPR (0-4) 0Open Change (0-1) 0 The first five requirements are not met.

Open Documents (0-3) 1

Open Interface (0-1) 0

Open Access (0-1) 0

On-going Support (0-3) 2TOTAL 4

While NextBus clients may be able to influence the specification to some degree, the ultimate decision belongs to NextBus.

The specification is distributed with the NextBus copyright and may not be used except by NextBus Inc.

Documentation for the current specification is freely available. However, future changes and documents on committee meetings or change proposals are not available.The specification does not meet requirements for open interface including backward and forward compatibility principally because documentation on changes and schema downloads are not fully available.Outside of NextBus Inc.'s website there is no way to access implementations.Support for the standard appears to be available during most phases of the specification's lifetime.

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